- Bank of America (New York, NY)
- …Indicators (EWI); up-front engagement of Liquidity Risk & LOB team and approval via senior executives and broker - dealer Board of Directors, as appropriate. ... and Financing businesses and any concerns are appropriately escalated to senior management. Perform independent analysis to generate an independent viewpoint and… more
- TD Bank (New York, NY)
- …**Preferred Qualifications:** + 5 or more years of experience with a registered US broker dealer or regulator. + JD desirable but not required + Knowledge ... can provide you more specific details for this role. **Job Description:** The Senior Compliance Office provides advice, guidance and support to business units in… more
- TD Bank (New York, NY)
- …accordance with Firm policy and regulatory requirements. TD has been growing its US Broker Dealer activities over the last few years both organically and through ... medium-term issues (eg 6-12 months) + Generally reports to a Senior Manager or above **Core Accountabilities:** Scope of Supervision accountabilities cover… more
- TD Bank (New York, NY)
- …unstructured and fast paced environment **OCC:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA and ... of defense in Wealth by partnering with US Wealth Senior Leadership Team, Federated Partners (Compliance, Legal), and AMCB...have regular career, development, and performance conversations with your manager , as well as access to an online learning… more
- TD Bank (New York, NY)
- …unstructured and fast paced environment **OCC:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA and ... and reward the contributions of others + As a senior executive team member, and across all areas of...have regular career, development, and performance conversations with your manager , as well as access to an online learning… more
- TD Bank (New York, NY)
- …**Preferred Qualifications:** + 10 or more years of experience with a registered US broker dealer or regulator. + JD desirable but not required. + Knowledge ... has enterprise wide impact or accountability. + Position deals with senior /executive management. + Key contact for business management, regulators and… more
- TD Bank (New York, NY)
- …BA/BS, or a similar degree required. + 2 years of experience with a registered US broker dealer or regulator. + Problem solving skills and the ability to work ... of other firms + Conducts/oversees complex analysis and develop recommendations for business/ senior management based on findings + Interprets the impact and advise… more
- Lincoln Financial (Albany, NY)
- …to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln ... strong relationships, and ability to execute effectively. This is not a project manager role. **What you'll be doing** What you'll be doing * Provides specialized… more
- TD Bank (New York, NY)
- …**Preferred Qualifications:** + 7 or more years of experience with a registered US broker dealer , regulator, or global financial organization. + JD desirable but ... judgment and ability to closely partner with and advise senior and line managers and other stakeholders on regulatory...have regular career, development, and performance conversations with your manager , as well as access to an online learning… more