- SMBC (New York, NY)
- …well organized with project management skills. + Regulatory compliance experience at a broker dealer and or swap dealer preferred. BA/BS required. Series ... Critical Job Knowledge and Core Competencies/Skills: + Extensive Compliance Advisory experience at a broker dealer and or swap dealer . + Strong knowledge in… more
- Wells Fargo (New York, NY)
- …risk. + Experience with assessing risk and controls related to Travel Rule and/or Broker Dealer compliance. **Job Expectations:** + Ability to travel up to 10% ... financial crimes. The Financial Crimes Audit Team is responsible for testing governance and coordinating first line audit coverage of Anti-Bribery and Corruption… more
- Wells Fargo (New York, NY)
- …Careers Site at Wellsfargo.com/career. **In this role, you will:** + Advise on broker - dealer regulatory matters, including FINRA and SEC related requirements ... Fargo is seeking a Senior Counsel in the CIB Regulatory Legal and Governance Section of the...to support CIB businesses and support teams on securities regulatory issues, broker - dealer matters and… more
- Mizuho Corporate Bank (New York, NY)
- …designed to add value and improve Mizuho Bank's US operations including derivative activities, broker dealer and swap dealer businesses. Based in the New ... areas of the bank to evaluate the effectiveness of risk management and governance processes. Along with its counterparts in London, Hong Kong and Singapore, IADA… more
- TD Bank (New York, NY)
- …equivalent experience at a regulatory body (eg, leading a bank or broker / dealer exam team). + Surveillance experience at Financial Market Regulator (eg, SEC, ... that alert review processes align with firm requirements and global regulatory expectations. **Department Overview:** Our team of trusted Surveillance Compliance… more
- Wells Fargo (Westport, CT)
- …+ 2+ years of financial services industry experience + Experience in compliance or broker - dealer governance **Job Expectations:** + US only: Obtaining and/or ... through meaningful statistics + Develop expertise in firm, compliance and regulatory policies and procedures + Collaborate and consult with Financial Advisors,… more
- Santander US (New York, NY)
- …of the US Fixed Income trading/ regulatory framework, including FINRA, SEC broker dealer regulations and other relevant bank regulations; knowledge of FRB, ... and assist in the preparation of management information reporting and governance materials; Ensure timely regulatory filings and certifications. Qualifications:… more
- NatWest Markets (Stamford, CT)
- …management, and reference data functions / flow. + Direct understanding of US regulatory requirements specific to Broker Dealer Operations. + Individual ... incidents. + Ensure Broadridge preparedness on any Industry, Change, and Regulatory initiatives. + Identifyand own opportunities to re-engineer processes & controls… more
- Scotiabank (New York, NY)
- …years of compliance experience, including experience providing advisory support to a broker - dealer equities sales and trading business. + Knowledge of relevant ... management and US Compliance personnel on relevant compliance issues, the regulatory environment, and Compliance Department initiatives by actively participating in… more
- Wells Fargo (New York, NY)
- …regional broker dealers, derivative operations that support its Swap Dealer (WFBNA) including regional branches, and its Global Payments Services, Mortgage ... and CIB Control for Rates + Represent Trade Surveillance on various governance forums + Actively participate in risk assessments and parameters setting activities… more
- Citigroup (New York, NY)
- …proposals and new financial product proposals in Fixed Income Credit and Broker Dealer and Banking products, and provide independent liquidity risk ... and cashflow trends in the economic environments. Enhance firm-wide liquidity risks governance frameworks to improve responsiveness to changes in the regulatory … more
- Mizuho Corporate Bank (New York, NY)
- …to add value and improve Mizuho Bank's US operations including the derivatives and broker dealer businesses. Based in the New York Metro area, IADA staff ... areas of the bank to evaluate the effectiveness of risk management and governance processes. Along with its counterparts in London, Hong Kong and Singapore, IADA… more