- Syntricate Technologies (New York, NY)
- …How many years working with: Asset Management How many years working with: Broker - Dealer Job Description: Managers notes: Regulatory / compliance role ... process requirements through Scenario and UAT testing. Construct and contribute to regulatory oversight / governance committee materials. Skills / Attributes &… more
- TD Bank Group (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
- Jefferies (New York, NY)
- …integrated investment banking and securities firm. Our largest subsidiary, Jefferies LLC, a US broker - dealer , was founded in the US in 1962 and our first ... international operating subsidiary, Jefferies International Limited, a UK broker - dealer , was established in the UK in 1986. Our strategy focuses on continuing to… 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...opportunity for you. Develops or maintains an effective financial governance and controls framework that defines the ways and… more
- TD Bank (New York, NY)
- …abilities.** + **Experience responding to client complaints within a bank or broker - dealer .** + **Experience reviewing and providing guidance on advertising and ... to setting new industry standards. **Job Summary:** The Compliance Governance & Operations Manager leads the development and implementation...marketing materials for a broker - dealer /bank.** + **Prior testing, audit or business… more
- SMBC (Jersey City, NJ)
- …representative offices; Grand Cayman Branch; Canada Branch; Brazilian banking subsidiary; US broker dealer and registered swap deal; and certain non-bank leasing ... looking to hire a Financial Crime Compliance ("FCC") Program Governance Associate reporting to a VP of FCC Program...archives via SharePoint. 8. Stay abreast of the changing regulatory landscape. 9. This role may also be required… more
- SMBC (Jersey City, NJ)
- …and related internal control framework + Knowledge of securities broker dealer business, financial products and regulatory reporting (SEA 15c3-1) + Strong ... will be responsible for SMBC Nikko Securities America, Inc, a registered broker dealer , which provides intvestment securities and other financial services… more
- US Bank (New York, NY)
- …counsel supporting capital markets products + Experience with securities laws and broker - dealer regulatory matters + Experience with corporate finance, ... other related support functions, such as Risk, Compliance and Regulatory Services + Work with senior leadership within the...authorities, especially the SEC and FINRA + Experience with broker - dealer corporate governance + Familiarity… more
- TD Bank (New York, NY)
- …develop and implement proactive strategies, tactics and programs to effectively manage regulatory oversight and governance issues + Develops and implements sales ... plans and requirements + Keeps up to date on regulatory issues affecting the governance and control...**OCC:** + This position is with a FINRA member, broker and/or dealer and is subject to… more
- TD Bank (New York, NY)
- …including assisting with adherence to enterprise-wide initiatives including global policies and governance . + Assist with regulatory and audit requests. + ... to 10 years of knowledge and experience in AML compliance, preferably within the broker - dealer industry at a large financial institution. + Excellent verbal 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 ... bank to evaluate the effectiveness of risk management and governance processes. Along with its counterparts in London, Hong...the Mizuho Americas Model Risk Management Policy and applicable regulatory guidelines such as SR 11-7 - Document third… 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
- 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
- JPMorgan Chase (Jersey City, NJ)
- …requirements (eg, 12 CFR 9) related to asset management, investment advisor, broker - dealer and fiduciary activities. + Knowledge of various financial ... is your opportunity to play a crucial role in enhancing our organization's governance and operational excellence! As an Audit Manager within our Asset Management… more
- Wells Fargo (New York, NY)
- …1933 and the Securities Exchange Act of 1934 + Familiarity with FINRA rules and broker - dealer compliance + Experience working with or advising ECM/DCM desks at a ... other transaction-related documentation. + Monitor and interpret legal and regulatory developments affecting capital markets and advise business partners… 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
- 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
- MUFG (New York, NY)
- …markets business management in large financial institutions (experience at both commercial bank and broker dealer will be preferred) + Ability to work with large ... commentary of business performance, status of hiring plans, and business initiatives for governance and town hall type meetings. + Analyze cost metrics and reports… more
- Citigroup (New York, NY)
- …+ Global platform includes Prime Brokerage and Swap offerings across US and international broker dealer and bank chain entities. + Client portfolios comprise of ... and control functions + Evolving the risk framework and other risk governance items to ensure a proper control environment and strategic platform development… more
- SMBC (Jersey City, NJ)
- …Group's wholesale and retail banking operations; US and LATAM representative offices; US broker dealer and registered swap deal; Cayman Branch; Canada Branch; ... also participate in the preparation of key metrics to evaluate the governance of the Controls Inventory. **Role Objectives** Primary Responsibilities: + Assist in… more
