- MUFG Bank, Ltd. (New York, NY)
- …Help facilitate the information gathering and documentation submission required by the regulatory bodies for the broker - dealer 's onboarding process Assist ... with system configuration, setup, and testing Collaborate with relevant regulatory bodies to understand the application process, reporting requirements, and… more
- Mizuho Corporate Bank (New York, NY)
- …, regulatory reporting quality assurance or internal audit + knowledge of broker dealer regulatory reporting especially FOCUS report + knowledge ... of expertise in various regulatory reporting , especially for broker dealer regulatory reports , as well as experience in managing projects and… more
- Marex (New York, NY)
- …broker - dealer Trade Surveillance process. + Provide Compliance Advisory services for broker - dealer Regulatory Reporting process. + Carry out ... activities. + Serve as a subject matter expert ("SME") on products, regulatory reporting , and broker - dealer operations by maintaining proficient… more
- SMBC (New York, NY)
- …+ 4-7 years of regulatory and/or advisory compliance experience at a broker dealer . + A solid foundation in US securities laws and regulations ... group within SMBC Nikko Securities Inc. serves as a regulatory advisory function to the President and is responsible...and is responsible for overseeing the management of the broker dealer 's compliance risk and is represented… more
- BMO Financial Group (New York, NY)
- …New York office. Our ideal candidate has a SEC/FINRA examiner background with broker dealer experience including SEC 15c3 experience, possessing a strong ... understanding of broker dealer operations and SEC/FINRA regulations. If...and management of the review and sign-off of relevant regulatory reporting . + Broader work or accountabilities… more
- PNC (New York, NY)
- …the Compliance Audit team supporting Corporate & Institutional Banking, Treasury Management, Swap Dealer & Broker Dealer . This position is primarily based ... Function, Auditing, Business Acumen, Coaching Others, Data Gathering and Reporting , Decision Making and Critical Thinking, Effective Communications, Internal… more
- Marex (New York, NY)
- …of client static data in order to improve efficiencies and Compliance reporting . + Ensuring compliance with the company's regulatory requirements under ... out on all new customers in accordance with local regulatory requirements and Group standards and procedures + Communicate...the SEC, FINRA, NFA, CFTC and other applicable regulatory bodies. + Adhere to the operational risk framework… more
- MUFG (New York, NY)
- …+ Develop Canadian broker dealer and enhance US broker dealer collateral monitoring and cash flow forecasting reporting . + Continue to build out ... Capital Management and Consolidated US Operations (CUSO) Resolution Planning. Reporting directly to the Treasurer, the AVP will have...Broker Dealer are aligned with peer broker dealer practices and regulatory … more
- Marex (New York, NY)
- …to monitor business activities. + Serve as a subject matter expert on products, regulatory reporting , and broker - dealer operations by maintaining ... business lines. + Complete or assist in completing US Broker Dealer related regulatory inquiries....Surveillance process. + Provide Compliance Advisory services for US Broker Regulatory Reporting process. +… more
- MUFG (New York, NY)
- …+ Help facilitate the information gathering and documentation submission required by the regulatory bodies for the broker - dealer 's onboarding process + ... Assist with system configuration, setup, and testing + Collaborate with relevant regulatory bodies to understand the application process, reporting requirements,… 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 ... of the largest-and growing-banks in the world. About the Team Operations Regulatory Reporting is a newly created team within Operations that is responsible for… more
- Scotiabank (New York, NY)
- …Testing Program covers US regulations applicable to all of Scotiabank's US broker - dealer (including internal inspections), banking, swap dealer , futures ... compliance testing or audit. + Experience/background in compliance applicable to broker - dealer internal inspections, institutional trading & sales, investment… 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 ... management of the Compliance Risk Assessment framework to ensure the applicable regulatory compliance risks and internal controls are identified and assessed 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 ... as Compliance lead for managing and facilitating the US Compliance Risk Assessment, reporting to the US Head of Compliance Programs + Manage the Compliance Risk… more
- Santander US (New York, NY)
- …US Fixed Income and Equities trading/ regulatory framework, including FINRA, SEC broker dealer regulations and other relevant bank regulations; knowledge of ... for top management and assist in the preparation of management information reporting and governance materials; Ensure timely regulatory filings and… more
- TD Bank (New York, NY)
- …to 10 years of knowledge and experience in AML compliance, preferably within the broker - dealer industry at a large financial institution. + Excellent verbal and ... a robust financial crime risk management ("FCRM") program that meets regulatory requirements and mitigates financial crime risk. This involves providing guidance… more
- City National Bank (New York, NY)
- …Qualifications** * Bachelor's Degree or equivalent * Minimum 10+ years of lending and regulatory reporting in a data management environment * Minimum 10 years of ... Management Compliance roles, experience with a financial institution such as a broker / dealer and/or registered investment adviser. * For Wealth Management… more
- TD Bank (New York, NY)
- …**Preferred Qualifications:** + 10 or more years of experience with a registered US broker dealer or regulator. + JD desirable but not required. + Knowledge ... of operations, finance, regulatory reporting , sales and trading, and applicable rules and regulations, and the ability to learn new areas while supporting them.… more
- TD Bank (New York, NY)
- …**Preferred Qualifications:** + 5 or more years of experience with a registered US broker dealer or regulator. + JD desirable but not required + Knowledge ... of global financial institutions' operational, financial, sales and trading, and regulatory reporting activities and their obligations to applicable rules and… 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
