- Guardian Life (New York, NY)
- …functions related to the field sales force. **You will** + Make independent suitability decisions when approving all Investment Advisor accounts at account ... As a part of the Supervision and Business Risk (SaBR) team, the individual(s)...based upon regulatory requirements and firm policy in making suitability decisions. Document in a professional and consistent manner… more
- TD Bank (New York, NY)
- …who can provide you more specific details for this role. **Job Description:** The Principal Review Analyst II is a FINRA and SEC regulatory supervisory principal ... Inc.(TDWMSI), with a focus on new account review and suitability for and trades executed in the TDPCW Broker...executed in the TDPCW Broker Dealer and Registered Investment Advisor , as well as our fixed annuity insurance platforms.… more