- SMBC (New York, NY)
- …regulatory advisory function and is responsible for overseeing the management of the broker dealer 's compliance risk, and is represented by the Chief Compliance ... Job Knowledge and Core Competencies/Skills: + Extensive Compliance Advisory experience at a broker dealer . + Strong knowledge in US securities laws, rules and… more
- Citigroup (New York, NY)
- …risk and governance programs that meet regulatory expectations, for example US Broker - Dealer Supervision Rules (FINRA 3110, 3120, etc,) and, or Prudential ... with Prudential Bank Regulations. The role will interact extensively with senior management across the Global Equities business, central Markets teams, Independent… more
- CIBC (New York, NY)
- …CIBC.com (https://www.cibc.com/en/about-cibc.html) JOB PURPOSE Compliance Examination Manager for Capital Markets/ Broker - Dealer /Swap Dealer Reporting to the ... of business controls established to ensure adherence with US broker - dealer and US swap dealer ...completion and escalate past-due item + Develop relationships with senior management and other key internal contacts, including Management… more
- Citigroup (New York, NY)
- …their capital requirements and for the safeguarding of customer funds held by the broker - dealer . The primary entity that is subject to these rules is Citigroup ... Global Markets Inc "CGMI", plus other small broker -dealers. Regulatory works closely with Treasury, Accounting, Operations, Product...Rule 15c3-1 and 15c3-3; + Report financial results to senior management + Assist with the SEC & FINRA… more
- Broadridge Financial Solutions (New York, NY)
- …ways to improve their consultative sales skills within the operations groups of broker / dealer clients. + Collaborate with and advise Global Account and Strategic ... 100% of the client base and develop account plans based on a cross -Broadridge understanding of the client. The Account Manager employs strong negotiation and… more
- TD Bank (New York, NY)
- …Wealth business and US regulations for wealth businesses. Audit experience in Trust/Investment/ Broker Dealer /Asset Management. \#LinkedIn **Who We Are:** TD is ... Report on emerging trends, identifying issues and opportunities and recommending action to senior management + Act as a strategic audit advisor by providing counsel… more
- Santander US (New York, NY)
- …Santander US operations, that includes a retail bank, an auto consumer finance company, a broker dealer and the branch of our parent company, Banco Santander SA ... + Build and maintain effective relationships with internal stakeholders, including senior management, business units, and external auditors. + Coordinate with Group… more
- Morgan Stanley (New York, NY)
- …markets/risk management or working in risk management in a bank or broker / dealer -regulated environment. . Understanding of business line, financial products, ... Losses, and Independent Process Validation. In the Audit division, we provide senior management an objective and independent assessment of the Firm's internal… more