- Guardian Life (New York, NY)
- This is an exceptional chance to join Guardian Life as a Broker - Dealer Operations Specialist and be a key player on our Park Avenue Securities team! You ... technology + Collaborate with various internal departments including compliance, licensing, operations , and our internal clearing firm **You have** + Knowledge of… more
- MUFG (New York, NY)
- …settlement system support specialist to serve as the technical bridge between operations and the technology that powers our broker - dealer settlement ... in broker - dealer back office, financial technology, or equivalent financial operations roles. * Deep knowledge of broker - dealer products (equities,… more
- CIBC (New York, NY)
- …FINRA Series 7, CCOS or IACCP a plus) + Working knowledge of swap dealer operations and governing Dodd-Frank/CFTC requirements + **Values matter to you.** You ... the US Compliance Examination Plan established to ensure adherence with broker - dealer requirements and compliance with federal and self-regulatory organization… more
- TD Bank (White Plains, NY)
- …for this role. **Line of Business:** TD Wealth **Job Description:** The Trade Operations Senior Support Specialist is responsible for the strategic and ... + Series 7 and 24 **OCC:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA and Securities Laws. May (or… more
- TD Bank (New York, NY)
- …knowledge and experience in AML compliance, preferably including investment banking / broker - dealer experience at a large financial institution. + Excellent ... for this role. **Job Description:** **Position:** Financial Crime Risk Oversight Specialist **Reports to:** Director, Financial Crime Risk Oversight, TD Securities,… 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 ... rules. **About this role:** Wells Fargo is seeking a Lead Business Accountability Specialist (Vice President) for our ETRM team. We are seeking a self-starting… more
- Wellington (New York, NY)
- …legal support of Wealth initiatives preferred (eg, marketing and limited purpose broker - dealer requirements) + Strong understanding of complex legal and ... matters, and strategic client initiatives. The successful candidate will join a specialist legal team that collaborates closely with our business and Compliance… more