- TD Bank (New York, NY)
- …this role **Job Description:** **Preferred Qualifications:** TD Securities is looking for a broker -dealer accountant to join its legal entity control division in ... : New York, New York, United States of America **Hours:** 40 **Line of Business :** TD Securities **Pay Detail:** $150,000 - $180,000 USD TD is committed to providing… more
- BMO Financial Group (New York, NY)
- …15c3-3 and 15c-3-1 rules. Generates information and insights that can support key business decisions to drive value, and improve efficiency/ control . Acts as a ... Controller for US Institutional broker /dealer who leads/manages the accounting and regulatory reporting...the accounting and regulatory reporting teams. Works closely with business leaders, Finance Partners, and operations to ensure compliance… more
- City National Bank (New York, NY)
- **SENIOR BUSINESS CONTROL MANAGER - CAPITAL MARKETS** **WHAT IS THE OPPORTUNITY?** The Senior Business Control Manager will report into the ... under bank permissible activities, not under registered swap dealer or broker dealer activity. This role is responsible for ongoing monitoring, identification… more
- AIG (New York, NY)
- …we help customers to manage risk. Join us as Global Specialty Claims Strategy and Business Manager to play your part in that transformation. It's an opportunity ... to deliver valuable insights and lessons learned to claims, business and risk control functions. + Support...business leadership. Assist team members in maintaining external broker & customers relationships / service. + Assist in… more
- CIBC (New York, NY)
- …CIBC, please visit CIBC.com (https://www.cibc.com/en/about-cibc.html) Compliance Examination Manager for Capital Markets/ Broker -Dealer/Swap Dealer Reporting ... of business controls established to ensure adherence with US broker -dealer and US swap dealer requirements and compliance with federal and self-regulatory… more
- KPMG (New York, NY)
- ** Business Title:** Manager or Senior Manager , Global Trade Technology - SAP GTS **Requisition Number:** 112716 - 68 **Function:** Tax Services **Area of ... experience in all SAP GTS modules including compliance, classification, export control , customs management with self-filing and broker integration, Free… more
- Scotiabank (New York, NY)
- Manager , Compliance Testing **Requisition ID:** 200276 **Salary Range:** 85,700.00 - 159,100.00 _Please note that the Salary Range shown is a guideline only. Salary ... and Markets (GBM) is a leading Canadian Capital Markets and Investment Banking business with a growing platform in the US and Latin America, operating globally… more
- US Bank (New York, NY)
- …Private Banking) * Laws and regulations applicable to Corporate and Commercial Banking business lines The Senior Audit Manager also has strong knowledge of ... and provide consultation and credible challenge to support the development of effective business line control environments subject to compliance risk. We are… more
- Scotiabank (New York, NY)
- Senior Manager , Compliance Testing **Requisition ID:** 200274 **Salary Range:** 110,700.00 - 211,800.00 _Please note that the Salary Range shown is a guideline only. ... and Markets (GBM) is a leading Canadian Capital Markets and Investment Banking business with a growing platform in the US and Latin America, operating globally… more
- Bank of America (New York, NY)
- …knowledge of the Volcker Rule a plus; * Strong knowledge of risk and control management frameworks and ability to analyze business results to identify emerging ... Volcker EAC Compliance and Operational Risk Manager New York, New York **Job Description:** At...to independently execute projects and drive change with the business and other control functions. **Volcker EAC**… more
- HUB International (New York, NY)
- HUB International Limited ("HUB") is the 5th largest global insurance broker , providing a broad array of property, casualty, risk management, life and health, ... Benefits team is currently seeking a Strategic Field Resource Manager . This position will play a vital role in...development of our sales culture and in driving new business results and will work closely with the local… more
- SMBC (New York, NY)
- …products. SMBC Nikko Securities America, Inc. is a SEC-registered securities broker -dealer and member of the Financial Industry Regulatory Authority (FINRA) and ... investor clients as part of the SMBC Global Markets business unit. SMBC Global Markets is searching for a...individual will support activities within our swap dealer and broker dealer businesses including derivatives, FX, repo and securities… more
- Deloitte (Jersey City, NJ)
- …of traded products and associated cashflows + Demonstrate understanding of business processes, regulatory requirements, internal control risk management, ... Deloitte Risk and Financial Advisory Risk, Data and Regulatory Liquidity - Manager Deloitte Risk and Financial Advisory's Financial Services Industry (FSI) Risk,… more
- JPMorgan Chase (Jersey City, NJ)
- …extract insights from data to drive business results + Disciplined risk manager who maintains strong control culture and environment, includes attention to ... impact by delivering high-quality products that resonate with clients. As a Product Manager in Short Term Investments within Liquidity and Account Solutions, you are… more
- HUB International (New York, NY)
- …unrelenting advocacy and tailored insurance solutions that put our clients in control . Our growing team of professionals across North America represents a broad, ... for a dynamic and experienced wealth management industry product manager to join our team. The ideal candidate will...Product Lead, you will be responsible for driving the business process, adoption and optimization of our Wealth Management… more
- Deloitte (Jersey City, NJ)
- … approval: + Licensed attorney + Enrolled Agent + Certifications: + US Customhouse Broker 's License + CUSECO (Certified US Export Control Officer) + Where ... At Deloitte, you'll work with the best in the business to solve the toughest problems in business...Business Analysis Professional + Certified SAFe Lean Portfolio Manager + Certified SAFe Architect + Certified SAFe Agile… more
- SMBC (New York, NY)
- …advisory function and is responsible for overseeing the management of the broker dealer's compliance risk, and is represented by the Chief Compliance Officer ... externally as a reliable, knowledgeable resource. Incumbents may develop and exercise business plans, policies and procedures, as well as oversees various assigned… more
- Broadridge Financial Solutions (Newark, NJ)
- …the Broadridge team. We are seeking a highly skilled and detail-oriented DBA Operation L1/L2 Manager to join our team. As the DBA Operation L1/L2 Manager , you ... and monitoring tools eg, SCOM, Datadog, + Experience with issue, change control tracking softwares eg, Remedy-ITSM, JIRA. #LI-NO1 Broadridge associates helped us… more
- JPMorgan Chase (Jersey City, NJ)
- …companies, commercial banks, non-bank financial institutions, central banks and broker dealers. Our advanced, end-to-end solutions which combine physical, notional ... and virtual techniques enable our clients to achieve visibility, control and optimization of working capital. **Job responsibilities** + Partners with the Product … more
- Research Foundation CUNY (New York, NY)
- Job Title: Corporate and Project Insurance Manager PVN ID: RF-2406-006308 Category: Managerial and Professional Location: RESEARCH FOUNDATION OF CUNY Job Description ... Description Reporting directly to the Controller, the Corporate and Project Insurance Manager is responsible for the following areas: Manages all aspects of the… more