- Coinbase (Albany, NY)
- …regulated environment? We are looking for an exceptional Manager in our Broker Dealer Operations function, establishing the critical controls and ... doing (ie. job duties):* We are building out our Broker Dealer Operations function to...function to support our equities trading product. As a Manager , you will both lead and directly contribute to… more
- SMBC (New York, NY)
- …time as business is conducted and transactions are executed. **Role Objectives** The Broker Dealer Regulatory Governance Advisory Team within the CPAD Advisory ... of the CEO (CEOAD), Tokyo Home Office, Finance & Operations , Risk, HR, Internal Audit, and Technology. The Regulatory...project management skills. + Regulatory compliance experience at a broker dealer and or swap dealer… more
- 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 will ... internal partners on various functions including advisor as portfolio manager , multi-account/strategy proposals, and trading methodologies + Proactively and… more
- Citigroup (Getzville, NY)
- …of this role. The role includes (CGMHI) CFO role and the oversight over US Broker Dealer legal entity controller activity. The Markets business accounts for over ... The Finance Accounting Lead Group Manager is a C-16 level leadership role that manages...95% of the US Broker Dealer balance sheet and therefore there is… more
- TD Bank (New York, NY)
- …requirements a plus.** + **Knowledge of current and emerging trends, including broker - dealer and RIA regulatory expectations and standards for effective ... to make a tangible impact - both in day-to-day operations and in the design of a future-focused compliance...**Experience responding to client complaints within a bank or broker - dealer .** + **Experience reviewing and providing guidance… more
- City National Bank (New York, NY)
- …with the transfer by acting as the intermediary between the receiving and delivering broker dealer , and see that the account is properly closed and archived ... * OPERATIONS ANALYST* WHAT IS THE OPPORTUNITY? Provides operational...* 3 to 5 years of experience in a broker dealer or investment industry * Minimum… more
- MUFG (New York, NY)
- …including trade settlement and trade flow. Proven experience working within a Broker / Dealer environment. + **Product Knowledge:** Expertise with a broad range ... and rewarding landscape. **About the Role:** As Business Analyst Manager , you will lead a team of Business Analysts,...services industry, preferably in a relevant role within a Broker / Dealer or similar organization. + Demonstrated ability… more
- JPMorgan Chase (New York, NY)
- Join the Foreign Banks and Broker Dealer Payments Sales team! As a Payments Sales Manager within the Financial Institutions Group - Foreign Banks and ... Broker Dealer segments, you will be primarily...Banking coverage officers. + Collaborate with client service, compliance, operations , technology, risk, credit, legal in order to optimize… more
- City National Bank (New York, NY)
- …with the transfer by acting as the intermediary between the receiving and delivering broker dealer , and see that the account is properly closed and archived ... New Account Specialist provides operational support to the Portfolio Manager Team and Advisors on all asset movement activities....* 3 to 5 years of experience in a broker dealer or investment industry * Minimum… more
- MUFG (New York, NY)
- …and other Control personnel to determine MSIIs / audit points. Assist the broker dealer entity in correctly Identifying the overall issue owner, deliverables ... other meetings + Work closely with business unit risk manager across the lifecycle of the Issue Management process...Assist in identifying data risks in RCSAs across the broker dealer entity (adhoc risk / controls… more
- City National Bank (New York, NY)
- …other regulatory affairs. * Experience with a financial institution such as a broker / dealer and/or registered investment adviser. * Experience working within a ... INVESTMENT ANALYTICS & TRADE MONITORING MANAGER *ABOUT US* City National Rochdale (CNR) partners with financial advisors and their high-net-worth clients to build… 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 ... CIO team is seeking an experienced Sr. Director of Operations , Execution, and Risk. This person would ensure that...to evaluate appropriate fund selection for specific platforms and manager /fund selection process. + Ability to review, analyze, and… more
- Neuberger Berman (New York, NY)
- …to ensure the highest standards of supervision and governance for RIA and Broker Dealer platforms and advisory/sales activities + Oversee the implementation of ... and leading high-performing teams + Deep understanding of RIA and Broker Dealer supervisory frameworks, advisory/sales practices, and relevant regulatory… more
- City National Bank (New York, NY)
- …Management Compliance roles, experience with a financial institution such as a broker / dealer and/or registered investment adviser. * For Wealth Management ... banking compliance laws and regulations, as related to lending, deposits, payments, and bank operations (Examples include but are not limited to: Reg B, Reg C, Reg… more
- TD Bank (New York, NY)
- …This team has oversight of TD's retail banking, commercial banking, and broker dealer funding activities. Working knowledge of key liquidity regulations ... of TD's US intraday liquidity and collateral monitoring across combined US operations . Duties include analysis of TD's liquidity and collateral positions and… more
- TD Bank (New York, NY)
- …BA/BS, or a similar degree required. + 2 years of experience with a registered US broker dealer or regulator. + Problem solving skills and the ability to work ... inquiries by regulators covering various businesses, functions and topics, including operations , finance, regulatory reporting, and sales and trading, and prepare… more
- TD Bank (New York, NY)
- …a similar degree + 10 or more years of experience in, with a registered US broker dealer or regulator, Branch Inspections testing a plus. + Strong knowledge of ... risk. **Key Responsibilities** + Manage the day to day operations of the branch inspections team which include but...have regular career, development, and performance conversations with your manager , as well as access to an online learning… more
- TD Bank (New York, NY)
- …Equities. + FINRA Series 7 & 24 licenses required + Deep knowledge of US Broker Dealer regulation; more specifically FINRA and MSRB rules & regulations, industry ... TDS is responsible for the planning, direction, and coordination of trading operations within The Bank. This position is also responsible for overseeing the… more
- BMO Financial Group (New York, NY)
- Member of the broker / dealer regulatory reporting team who will be responsible for the 15c-3 customer reserve calculation for BMO Chicago Branch, and as needed ... reporting matters. Works closely with business leaders, Finance Partners, and operations to ensure compliance with 15c3-3 governing BMO Chicago Branch treasury… 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 ... not required + Knowledge of operations , finance, regulatory reporting, sales and trading, at a...have regular career, development, and performance conversations with your manager , as well as access to an online learning… more