- TD Bank (Portland, ME)
- …compelling business context and advice; influences and gains alignment across increasingly senior stakeholders + Works autonomously as the lead and guides others ... risks and taxonomies related to consumer and commercial banking, securities (broker- dealer ), and wealth management businesses + Excellent written, verbal and… more
- Caterpillar, Inc. (El Reno, OK)
- …and Canada. In this role you will: provide critical analysis/insight to the Senior Finance Manager overseeing all SPM Western Hemisphere (WH) Services, interact with ... and present to the SPM WH CFO and SPM Senior Leadership team. **What You Will Do:** + Lead...Our innovative products and services, backed by our global dealer network, provide exceptional value that helps customers succeed.… more
- TD Bank (New York, NY)
- …can provide you more specific details for this role. **Job Description:** The Senior Compliance Office provides advice, guidance and support to business units in ... functions **Depth & Scope:** + Works independently as the senior officer and may coach and educate others +...more years of experience with a registered US broker dealer or regulator. + JD desirable but not required… more
- Citigroup (Tampa, FL)
- …fintech investments through its Spread Products Investments in Technologies program. **Business Risk Senior Officer I - Senior Vice President:** SP is seeking a ... a financial institution, law firm or consulting firm. + Familiarity with broker- dealer or bank activities, and products; prior experience with loans, securitized… more
- KeyBank (Cleveland, OH)
- …all areas of Key Wealth, including Key Investment Services (Key's retail broker- dealer and registered investment adviser) and its insurance agency KeyCorp Insurance ... responsibilities for the Assistant General Counsel, Key Wealth include: + Provides senior level consultation on complex matters that influence business outcomes +… more
- TD Bank (New York, NY)
- …Firm policy and regulatory requirements. TD has been growing its US Broker Dealer activities over the last few years both organically and through acquisitions (eg, ... issues (eg 6-12 months) + Generally reports to a Senior Manager or above **Core Accountabilities:** Scope of Supervision...be able to foster and maintain key relationships with senior Business Leaders or stakeholders. + Proactive and quick… more
- Lincoln Financial (Olympia, WA)
- …#:** 74772 **The Role at a Glance** The Role at a Glance The AVP, Senior Counsel - Life & Annuities, provides legal support to the Lincoln Financial Group business ... in a timely and proactive manner to internal key senior stakeholders + Act as a "thought leader" who...put their goals in reach. Lincoln Financial Distributors, a broker- dealer , is the wholesale distribution organization of Lincoln Financial.… more
- JPMorgan Chase (Jersey City, NJ)
- …+ Knowledge of applicable laws and regulatory requirements related to broker/ dealer and fiduciary activities + Strong interpersonal and influencing skills, with ... the ability to establish credibility and build partnerships with senior business and control partners; adept at presenting complex and sensitive issues to senior … more
- Lincoln Financial (Radnor, PA)
- …of the SRM governance processes + Develops & presents effective communications to senior management + Partners with internal stakeholders and senior management ... to help put their goals in reach. Lincoln Financial Distributors, a broker- dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln Financial… more
- Lincoln Financial (Radnor, PA)
- …variable insurance trust mutual funds. You will regularly interact with senior management, Lincoln Variable Insurance Product Trust (LVIP) Board of Trustees, ... complicated information succinctly in slides and charts for the benefit of senior management. *Demonstrated strength in written and oral communication. Ability to… more