- Axis (New York, NY)
- …Accommodation is available upon request for candidates taking part in the selection process. Head of US Broker Compliance Job Family Grouping: Operations ... Compliance How does this role contribute to our collective success? As the Head of Broker Compliance at AXIS, you will play a pivotal role in ensuring… more
- JPMorgan Chase (New York, NY)
- …organizations (SRO's), in performing these functions. You will report directly to the Head of the Broker -Dealer & Cash Equities Legal group. The Legal ... Preferred qualifications, capabilities and skills: + Strong experience and familiarity with broker -dealer cash equities legal, regulatory and compliance issues, … more
- Citigroup (New York, NY)
- …serve approximately 19,000 clients which include large corporations, banks and broker dealers, commercial bank mid-market companies and investment managers. The ... **Financial Institutions (FI) Sales Head ** is the global sales leader focused on Payments,...Solutions for this client segment, which includes Banks and Broker Dealers, Insurance, Asset Managers, Specialty Finance and FinTech.… more
- Broadridge Financial Solutions (Edgewood, NY)
- …while helping others along the way, come join the Broadridge team. Reporting to the Head of Corporate Actions and Income Processing based in the UK with a dotted ... industry relationships (C suite) in the Wealth Management industry (front office, compliance , industry organizations and back office). + Proven track record of… more
- TD Bank (New York, NY)
- …following: + Serve as Compliance lead for managing and facilitating the US Compliance Risk Assessment, reporting to the US Head of Compliance Programs ... as they pertain to respective businesses and across legal entities + Assist the Head of Compliance programs with facilitating the Compliance Risk Assessment… more
- AIG (New York, NY)
- …insurance solutions for our global customers, empowering our clients and broker partners to navigate complex cross-border risks with confidence and consistency. ... and in alignment with and support of AIG USA's growth plans/strategies. + Support the Head of Multinational - North America to expand AIG MN's presence in the market… more
- TD Bank (New York, NY)
- …and execution of the annual Compliance Test Plan. + Work closely with the Head of Compliance Monitoring and Testing and the other Compliance Testing ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $180,000 - $225,000 USD TD is...or more years of experience with a registered US broker dealer or regulator. + JD desirable but not… more
- Axis (New York, NY)
- …**How does this role contribute to our collective success?** Reporting to the Head of Casualty, North America AXIS Re, the successful candidate will be responsible ... do in this role?** + Originate and underwrite Cyber treaty business in compliance with the appropriate guidelines and within allocated authority while conforming to… more
- Citigroup (New York, NY)
- …Wealth Markets business in key initiatives including: + Assisting the Product Management Head and Desk Heads in new product rollouts in the Structured Product, ... + Assist with responses to Internal Audit, Regulators, and Compliance Testing, as needed + Participation in, and at...Knowledge & Experience: + 5 years' experience at a bank/ broker dealer + Working knowledge of brokerage products, structured… more
- AIG (New York, NY)
- …authority + Act as the primary referral underwriter for the respective US team when the Head of Class is out, to ensure all relevant risks written are in line with ... corrected + Demonstrate a consistent understanding of regulatory and compliance processes + Act in accordance with all regulatory...Talbot + Management of a book of business including broker plans, target account lists, pipelines, and action plans… more
- Citigroup (New York, NY)
- **Job Purpose:** + Individual will report to the Global Head of Prime Finance In-Business Risk (IBR), responsible for counterparty and platform risk management of ... Prime Brokerage and Swap offerings across US and international broker dealer and bank chain entities. + Client portfolios...- to senior management and Global Prime Finance IBR Head . Continuously assessing and adapting to new products and… more
- TD Bank (New York, NY)
- …New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $135,000 - $190,000 USD TD is committed to providing fair ... specific details for this role. **Job Description:** TD Securities Compliance team is seeking a Surveillance Quality Assurance Manager...Team. The SIU in turn reports to the Global Head of Surveillance. This incumbent will ensure that surveillance… more
- Wells Fargo (New York, NY)
- …Securities Operations that support Wells Fargo Securities (WFS LLC) and regional broker dealers, derivative operations that support its Swap Dealer (WFBNA) including ... FICC Subject Matter Expert (SME) will report to the Head of Market Abuse Monitoring and will be responsible...+ Manage key relationships with Business Heads, Desk Heads, Compliance , COO and CIB Control for Rates + Represent… 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 members ... financial services risk management operations, balance sheet management, liquidity, compliance , conduct, financial crime, credit risk, operational and third-party… 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 members ... financial services risk management operations, balance sheet management, liquidity, compliance , conduct, financial crime, credit risk, operational and third-party… more
- Mizuho Corporate Bank (New York, NY)
- …Further, the team plays a key role (in collaboration with legal, compliance , IT, etc) in the analysis, requirements specifications, and implementation of new ... regulatory rules and will contribute analysis and translation of various Broker -Dealer regulatory requirements in collaborations with other stakeholders (eg, legal, … more
- Zurich NA (New York, NY)
- …Underwriting Manager for our Middle Market segment. This position reports to the Head of Middle Markets within the Professional Liability & Cyber Business Unit. This ... execute growth strategies, drive rate and retention, and cultivate broker and client relationships. You will be responsible for...location, role, skill set, and level of experience. In compliance with local laws, Zurich commits to providing a… more
- JPMorgan Chase (New York, NY)
- …providers and administrators, financial operations, legal & compliance , staffing, financing/counterparty arrangements and information technology/cybersecurity + ... managers (typically senior level non-investment staff - COO, CFO, Head of Ops, CCO) and develop and maintain strong...inside and outside the firm, including service providers, Prime Broker consulting teams and members of industry peer groups… more