- 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 ... and other internal support functions, including CPAD Central Functions, Strategic Planning Group (SPG), Office of the CEO (CEOAD),...project management skills. + Regulatory compliance experience at a broker dealer and or swap dealer… 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
- Marex (New York, NY)
- …in financial products (preferably Equity and Fixed Income Prime Services) for the role of Strategic Operations , Broker Dealer . This role is tasked with ... manging and implementing the multiple projects ahead of the Broker Dealer Operations team. Marex...assumptions and conclusions of more experienced staff members; + Strategic collaborator with insight and agility, able to anticipate… more
- SMBC (New York, NY)
- … dealer . + A solid foundation in US securities laws and regulations and broker dealer operations , products and services. + Ability to communicate this ... and is responsible for overseeing the management of the broker dealer 's compliance risk and is represented...on day-to-day advisory and monitoring, although role also supports strategic planning within area of coverage. Reports to a… more
- Santander US (New York, NY)
- …controls related to the Swap Dealer (eg Dodd Frank/EMIR/MiFid) and coverage for Broker Dealer controls in coordination with the controls Team. Act as back up ... and alignment with internal standards. The role requires a strategic thinker with strong leadership skills and the ability...risks. Capable of learning back up controls for the Broker Dealer where needed. Knowledge of Sentinel/Bloomberg.… 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
- GE Vernova (New York, NY)
- …markets products and services, including third-party fundraising and management. + Broker - Dealer Compliance: Coordinate and execute compliance obligations for ... regulated securities transactions arranged through a registered Broker - Dealer and Financial Industry Regulatory Authority (FINRA) member firm, including private… more
- TD Bank (Ramsey, NJ)
- …The Trade Operations Senior Support Specialist is responsible for the strategic and operational oversight of the trading desk, ensuring adherence to regulatory ... + 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
- Raymond James Financial, Inc. (New York, NY)
- …and an understanding of the market standard risk management practices . Broker - dealer supervisory frameworks, retail investment platforms, and UHNW product risks ... of fifteen (15) years of financial services experience required . Experience in broker - dealer or wealth management firms preferred, especially with exposure to… more
- TD Bank (New York, NY)
- …risks and taxonomies related to consumer and commercial banking, securities ( broker - dealer ), and wealth management businesses + Excellent written, verbal ... to make a tangible impact - both in day-to-day operations and in the design of a future-focused compliance...risk profile. In this role, you'll need to be strategic , tactical, collaborative and creative in your approach. You… more
- Citigroup (New York, NY)
- …+ Knowledge of and experience covering the financial intermediary (bank, broker - dealer , clearinghouse, etc.) client base, preferably within an Investor ... key commercial relationships, with responsibilities including, but not limited to: + Strategic Client Engagement: + Oversee the strategic direction and… more
- HUB International (New York, NY)
- …& Private Wealth (RPW) SEC registered investment advisor and limited purpose FINRA Broker - Dealer : The Deputy Chief Compliance and Risk Officer, will be a ... one of the largest global insurance and employee benefits broker , providing a boundaryless array of business insurance, employee...and completion of the ADV forms with support of operations and advisor staff. + Participate in the investment… more
- Wells Fargo (New York, NY)
- …this role will have accounting support responsibilities for the institutional Broker - Dealer of the consolidated organization, Wells Fargo Securities, LLC, ... reporting and analytics** **Work with management to establish companywide strategic plans and objectives, directing and controlling accounting, internal controls… more
- Mizuho Corporate Bank (New York, NY)
- …regulatory rules and will contribute analysis and translation of various Broker - Dealer regulatory requirements in collaborations with other stakeholders (eg, ... the career trajectory of a growing business. Our steady, strategic growth gives our people at all levels rewarding...the largest-and growing-banks in the world. About the Team Operations Regulatory Reporting is a newly created team within… more
- JPMorgan Chase (New York, NY)
- …and services are offered through JP Morgan Securities LLC (JPMS), a registered broker - dealer and investment advisor, member of FINRA and SIPC. Annuities are ... Management organization. This role is accountable for team leadership, strategic planning, execution oversight, and continuous improvement, ensuring that… 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 ... maintain the TDS US FCRM program. + Advise TDS Operations and other 1st line support functions on interpretation...Firm and escalate accordingly. + Strong project management and strategic thinking skills. + Proficiency with Microsoft Word, Excel… 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 ... responsible for the planning, direction, and coordination of trading operations within The Bank. This position is also responsible...& Scope:** + Oversees the development and execution of strategic planning for unit + Oversees program and project… 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
- City National Bank (New York, NY)
- …to Investment Management and Fiduciary activities * Investment management experience ( Broker / Dealer (FINRA) and RIA (SEC) required * Strong interpersonal, ... OFFICER WM* *WHAT IS THE OPPORTUNITY?* The Chief Fiduciary Officer provides strategic direction and oversight for the bank's trust and fiduciary operations… 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
