- Coinbase (Albany, NY)
- …highly-skilled Senior Associate to be a key member of our Broker Dealer Operations team, responsible for the integrity, efficiency, and optimization of ... doing (ie. job duties):* We are building out our Broker Dealer Operations function to support our...function to support our equities trading product. As a Senior Associate , you will play a critical… more
- SMBC (New York, NY)
- …function to the President and is responsible for overseeing the management of the broker dealer 's compliance risk and is represented by the Chief Compliance ... Compliance, IT Risk and Training committees. The Compliance Advisory Associate role assists in managing coverage areas or processes...years of regulatory and/or advisory compliance experience at a broker dealer . + A solid foundation in… more
- Coinbase (Albany, NY)
- …job duties):* * Lead and manage regulatory compliance and risk management for all broker - dealer activities, ensuring adherence to SEC and FINRA rules. * Provide ... currency and blockchain technology. * Experienced securities attorney with deep broker - dealer expertise to provide legal guidance on compliance, regulatory… more
- TD Bank (New York, NY)
- …but not required + 5 or more years of experience with a registered US broker dealer , swap dealer , Global Systematically Important Bank (GSIB), or associated ... more specific details for this role. **Job Description:** This Senior Compliance Officer is a key member of the...or more years of experience with a registered US broker dealer or regulator. + JD desirable… more
- Citizens (New York, NY)
- …the Citizens Consumer Bank. The Associate General Counsel will report to the Senior Associate General Counsel, Head of Wealth Legal and will be responsible ... aspects within the Bank's full-service wealth management business, which includes RIA, Broker Dealer and Trust (including Delaware trust) offerings and services.… more
- Kestra Financial (Kings Park, NY)
- …and record keeping adheres to compliance standards + Successfully partner with Broker Dealer for new account establishment, account maintenance, and compliance ... in pursuit of business objectives + Other responsibilities as assigned by the Senior Client Service Associate Knowledge, Skills, and/or Abilities + Advanced… more
- JPMorgan Chase (Fayetteville, NY)
- …and services are offered through JP Morgan Securities LLC (JPMS), a registered broker - dealer and investment advisor, member of FINRA and SIPC. Annuities are ... to meet their financial needs. As a Private Wealth Associate in Chase Wealth Management, you will offer comprehensive...wealth management, and the ability to collaborate effectively with senior advisors to deepen with and serve clients. **Job… more
- TIAA (New York, NY)
- …as well as product development and management. + Experience in wealth and broker / dealer risk management. + Experience working closely with legal, compliance and ... risk management experience within a wealth, trust and/or brokerage business as a senior risk leader or an external consultant. Compliance experience in these areas… more
- Lincoln Financial (Albany, NY)
- …**Requisition #:** 75012 **The Role at a Glance** We're excited to bring on a Senior Associate Actuary, Life & MoneyGuard Pricing to play an integral role in ... expansion * Analyze risk & summarize key findings for senior leaders to drive strategic pricing strategies * Collaborate...put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of… more