- 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
- 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
- CIBC (New York, NY)
- …FINRA Series 7, CCOS or IACCP a plus) + Working knowledge of swap dealer operations and governing Dodd-Frank/CFTC requirements + **Values matter to you.** You ... the US Compliance Examination Plan established to ensure adherence with broker - dealer requirements and compliance with federal and self-regulatory organization… 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
- Citigroup (New York, NY)
- …+ Knowledge of and experience covering the financial intermediary (bank, broker - dealer , clearinghouse, etc.) client base, preferably within an Investor ... key commercial relationships, with responsibilities including, but not limited to: + Strategic Client Engagement: + Oversee the strategic direction and… 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 ... 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 Deputy Chief Compliance and Risk Officer, will be a ... 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
- Wells Fargo (New York, NY)
- …statutory disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing ... **About this role:** The Global Markets Macro COO is a strategic leadership role responsible for overseeing the operational, financial, and strategic management… 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 (eg, ... the career trajectory of a growing business. Our steady, strategic growth gives our people at all levels rewarding...the largest-and growing-banks in the world. About the Team Operations Regulatory Reporting is a newly created team within… 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)
- …knowledge and experience in AML compliance, preferably including investment banking / broker - dealer experience at a large financial institution. + Excellent ... maintain the TDS US FCRM program. + Advise TDS Operations and other 1st line support functions on interpretation...Firm and escalate accordingly. + Strong project management and strategic thinking skills. + Proficiency with Microsoft Word, Excel… 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
- City National Bank (New York, NY)
- …to Investment Management and Fiduciary activities * Investment management experience ( Broker / Dealer (FINRA) and RIA (SEC) required * Strong interpersonal, ... OFFICER WM* *WHAT IS THE OPPORTUNITY?* The Chief Fiduciary Officer provides strategic direction and oversight for the bank's trust and fiduciary operations… 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
- 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