- SMBC (New York, NY)
- …in real time as business is conducted and transactions are executed. **Role Objectives** The Broker Dealer Regulatory Governance Advisory Team within the ... and reporting. Regulatory Engagements: The Regulatory Governance Team supports SMBC's Broker - dealer entity in managing regulatory exams and… more
- SMBC (Jersey City, NJ)
- …knowledge of US regulatory rules, including capital requirements across banking, broker / dealer , and swap dealer entities. + Review and challenge ... issues involving our New York Branch, Bank Holding Company, broker / dealer , swap dealer and other...obligations to build firm-wide awareness and expertise. + Ensure governance and control standards are met for regulatory… more
- TD Bank (New York, NY)
- …JD desirable but not required. + 5-7 years of experience with a registered US broker dealer , swap dealer , Global Systematically Important Bank (GSIB), or ... a team(s) of specialists/professionals providing advice, guidance and expertise on regulatory requirements and assisting business units to manage their regulatory… more
- CGI Technologies and Solutions, Inc. (Jersey City, NJ)
- …role:** . 10+ years' experience in the capital markets financial industry (Bank/FBO/ Broker Dealer ). . Extensive experience with Adenza/Axiom Controller View ... **Business Analyst - Regulatory Reporting** **Category:** Business Analysis (functional and technical) **Main location:** United States, New Jersey, Jersey City… more
- MUFG (New York, NY)
- …to the team from planning to resolution + Identify Key Data Elements across the broker dealer entity and key regulatory reports and ensure data quality ... more details. **Responsibilities:** + As part of the Data Governance team work across various pillars of the data...personnel to determine MSIIs / audit points. Assist the broker dealer entity in correctly Identifying the… more
- SMBC (New York, NY)
- …and counterparty exposure estimation, documentation and reporting approaches). - Understand regulatory requirements applicable to Swap- Dealer , Broker - ... risk oversight processes across SMBC entities. This includes committee governance , regulatory and audit engagement, and issue...CUSO Market Risk and other risk stripes under the Swap- Dealer and Broker - Dealer legal entity… more
- GE Vernova (New York, NY)
- …compliance obligations for regulated securities transactions arranged through a registered Broker - Dealer and Financial Industry Regulatory Authority (FINRA) ... Summary** GE Vernova's Ethics & Compliance Team is seeking an experienced regulatory compliance professional that will partner with GE Vernova's Financial Services… more
- SMBC (Jersey City, NJ)
- …expert in the Regulatory Reporting Automation for BHC, Branch, Liquidity or Broker Dealer regulatory reports. This position will provide leadership to ... but not limited to reports such as the FRB reports, knowledge of broker - dealer reporting, liquidity reporting, etc.) + Experience in capital markets asset… more
- JPMorgan Chase (Jersey City, NJ)
- JPMorgan Securities LLC (JPMS LLC) is a licensed broker - dealer and investment adviser registered with the SEC and FINRA. It is also a Municipal Securities ... Dealer , Futures Commission Merchant, Commodity Pool Operator, and registered...team, you will support the LE Oversight and Control governance framework. You will partner with Lines of Business… 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)
- …preparation and consolidation of the monthly close, review entries and reconciliations for broker - dealer and non- broker - dealer entities and ensure ... highly complex financial management/ specialized accounting / taxation / audit / regulatory reporting and operational issues + Acts as the primary interface with… more
- MUFG (New York, NY)
- …seek a skilled Snowflake and Python Developer to join our team at a leading broker dealer in the capital markets. This role focuses on maintaining and enhancing ... with cloud platforms (AWS, Azure, GCP). Preferred Qualifications: - Experience in broker dealer or financial services environment. - Certifications in Snowflake… more
- HSBC (New York, NY)
- …navigate the R&S teams covering entities in the US (Holding company, Bank and Broker Dealer ), Mexico, Chile and Brazil. You will have responsibility for setting ... treasury topics, including specific liquidity experience and a solid understanding of Broker Dealer activity + Have experience of directing, engaging, motivating… more
- Wells Fargo (New York, NY)
- …controls and respond to incidents + Coordinate and present at supervisory and governance forums + Support regulatory inquiries, internal reviews, and remediation ... with complex datasets and deliver technical solutions + Experience with regulatory -driven remediation programs and governance frameworks + Strong communication… more
- TD Bank (New York, NY)
- …with regulatory Issue Management, Compliance Monitoring & Testing and governance of Compliance documentation preferred + Strong knowledge of laws, rules, ... risks and taxonomies related to consumer and commercial banking, securities ( broker - dealer ), and wealth management businesses + Excellent written, verbal… 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. + ... knowledge and experience in AML compliance, preferably including investment banking / broker - dealer experience at a large financial institution. + Excellent… 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 ... HUB is one of the largest global insurance and employee benefits broker , providing a boundaryless array of business insurance, employee benefits, risk services,… 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
- 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 ... ensures the efficient execution of business strategies, risk management, regulatory compliance, and infrastructure optimization across trading, sales, and support… more
- TD Bank (Ramsey, NJ)
- …experience + Series 7 and 24 **OCC:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA and Securities ... and operational oversight of the trading desk, ensuring adherence to regulatory requirements, risk management practices, and timely execution of trading activities.… more