- Citigroup (New York, NY)
- …proposals and new financial product proposals in Fixed Income Credit and Broker Dealer and Banking products, and provide independent liquidity risk ... field and 2 years of experience as a Quantitative Analyst, Risk Manager , Economist, Market Risk Senior Analyst, Model/Analysis/Validation Intermediate Analyst,… more
- World Insurance Associates, LLC. (Santa Barbara, CA)
- …Minimum 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 ... support the firm's Compliance Program. You will report to Manager -Compliance Operations + Develop and manage a Compliance Department...the skills and knowledge to succeed and assume more senior level positions as they progress at our firm.… 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