- 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
- 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
- SMBC (New York, NY)
- …management across Combined US Operations (CUSO), the SMBC Capital Markets Swap Dealer , and Nikko Securities America's Broker - Dealer entity. This role ... and internal controls). - Strong understanding of regulatory requirements applicable to Swap- Dealer , Broker - Dealer , and Bank entities. Communication and… 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 (New York, NY)
- …preparation and consolidation of the monthly close, review entries and reconciliations for broker - dealer and non- broker - dealer entities and ensure ... projects and ad hoc management reporting as required. + Support strategic and tactical projects, including planning and implementing upgraded sub-ledger systems.… 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)
- …regulations, risks and taxonomies related to consumer and commercial banking, securities ( broker - dealer ), and wealth management + Excellent written, verbal and ... 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
- HUB International (New York, NY)
- …& Private Wealth (RPW) SEC registered investment advisor and limited purpose FINRA Broker - Dealer : The Chief Compliance Officer, will be a highly visible, senior ... 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
- TD Bank (New York, NY)
- …support various product lines **OCC Language:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA and ... targets are met.is expected to support the development and execution for both strategic and tactical initiatives related to the ongoing development and support of… 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
- 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)
- …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
- 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
- Deloitte (New York, NY)
- …workshops in Microsoft PowerPoint + Experience with wire transfers, trade finance, broker / dealer trades. Data governance, data lineage, data testing. + ... compliance, audit, IT, and business teams. + Supervise day to day operations , set up processes for delivery including technical/functional documentation, scope of… more
- ServiceNow, Inc. (New York, NY)
- …onboarding, complaints, fraud and disputes management to decedent, trade exceptions, broker / dealer servicing, etc -to execute **uniform information, predictive ... unmatched operational efficiency.** **What You Will Drive: CRM & AI for Strategic Success** **Your focus will be on converting industry complexity into measurable… more
- Wellington (New York, NY)
- …legal support of Wealth initiatives preferred (eg, marketing and limited purpose broker - dealer requirements) + Strong understanding of complex legal and ... focus on complex investment management agreements (IMAs), regulatory matters, and strategic client initiatives. The successful candidate will join a specialist legal… more
