- 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 ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $75,000 - $95,000 USD TD is...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:** + 7 or more years of experience with a registered US broker dealer , regulator, or global financial organization. + JD desirable but ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $145,000 - $185,000 USD TD is...have regular career, development, and performance conversations with your manager , as well as access to an online learning… more
- Wells Fargo (New York, NY)
- …statutory disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing ... this role:** Wells Fargo is seeking a **Markets Innovation/Equities Senior Product Manager , Executive Director** (Senior Lead Securities Product Manager ) in CIB… more
- World Insurance Associates, LLC. (Santa Barbara, CA)
- …two (2) years of Compliance and/or regulatory experience within both RIA and broker - dealer business segments., + Series 7, 24 (or 26), 63, 65 (or 66), ... seeking a Compliance Specialist to support the firm's Compliance Program. You will report to Manager - Compliance Operations + Develop and manage a … more
- TD Bank (New York, NY)
- …a similar degree + 10 or more years of experience in, with a registered US broker dealer or regulator, Branch Inspections testing a plus. + Strong knowledge of ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $180,000 - $225,000 USD TD is...have regular career, development, and performance conversations with your manager , as well as access to an online learning… more
- TD Bank (New York, NY)
- …support various product lines **OCC Language:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA and ... Structured Products, ETF, Equity, and Options. The Senior Product Manager will oversee and be responsible for the risk...due to internal changes or regulatory updates and ensuring compliance with all policies and procedures. + Supports management… more
- Robert Half Finance & Accounting (New York, NY)
- …Services are hiring for a Compensation Accounting Manager role for a global Broker Dealer & Capital Markets firm located in midtown Manhattan New York. Our ... with 1 day work from home. This Compensation Accounting Manager role reports into the US CFO with a...process owner for variable pay and deferred equity, ensure compliance within the group and by service providers. +… more
- Brokers International (Urbandale, IA)
- …a focus on digital solutions. + Understanding of Registered Investment Advisory, Broker Dealer , investment products, financial planning, and wealth management ... Job Title: Wealth Project Manager Business Unit: Brokers International Financial Services Location:...businesses and serve their customers through innovative products, marketing, compliance , and operational support. In June of 2021, we… more
- Charles Schwab (Lone Tree, CO)
- …assessments that they are assigned to prepare, and this position reports to a Team Manager , BP Audits and SOX Compliance . This position is located in Lone Tree, ... Financial Responsibility Rule requirements **What you'll do:** + Gain exposure to broker - dealer , bank, and corporate processes through robust risk assessments,… more
- Equitable (Charlotte, NC)
- …other retirement related markets. + Possessing a general understanding of overall Broker / Dealer investment and insurance products. + Performing due diligence ... Equitable Advisors, Senior Product Manager - Retirement Plans ( 250000FY ) **Primary...products and recordkeeping firms. + Supporting advisors, internal teams, legal/ compliance as a subject matter expert in ERISA and… more