- 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
- Neuberger Berman (New York, NY)
- …Operations, and other control partners to ensure the highest standards of supervision and governance for RIA and Broker Dealer platforms and advisory/sales ... high-performing teams + Deep understanding of RIA and Broker Dealer supervisory frameworks, advisory/sales practices, and relevant regulatory requirements +… more
- TD Bank (New York, NY)
- …JD desirable but not required. + 7-10 years of experience with a registered US broker dealer , swap dealer , Global Systematically Important Bank (GSIB), or ... US Compliance Initiatives Team and US Wholesale Compliance Group. The Compliance Regulatory Initiatives Team is a newly created team within US Wholesale Compliance… 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
- TD Bank (New York, NY)
- …training requirements a plus.** + **Knowledge of current and emerging trends, including broker - dealer and RIA regulatory expectations and standards for ... + **Knowledge and experience within compliance or audit, legal and regulatory environment, enterprise governance framework, products and services, policies,… 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
- Wells Fargo (New York, NY)
- …and Investment Banking (CIB) Compliance team and requires deep expertise in broker - dealer regulations and lending compliance. **In this role, you will:** ... etc.). + Expertise in FINRA, SEC, FRB, and OCC regulations related to broker - dealer and ABS activities. + Familiarity with traditional lending regulations (Reg… 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
- 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
- MUFG (New York, NY)
- …Risk Management with demonstrated familiarity including Sales and Trading; and familiarity with Broker - Dealer and applicable regulations, such as DFA Swap ... activities designed to evaluate and assess the effectiveness of the Bank's governance , risk management and control processes. This role includes, but is not… 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
- Mizuho Corporate Bank (New York, NY)
- …consulting function, designed to add value and improve MUSO including the derivatives and broker dealer businesses. Based in the New York Metro area, IADA staff ... business areas of MUSO to evaluate the effectiveness of risk management and governance processes. As with counterparts in London, Hong Kong and Singapore, IADA… more
- NatWest Markets (Stamford, CT)
- …Income products, collateral management, and reconciliation processing. + Familiarity with US regulatory requirements specific to Broker Dealer Operations. + ... to highlight concerns and remediate incidents. + Ensure preparedness for industry, regulatory , and internal change initiatives. + Identify and lead opportunities to… 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, ... the Wealth Management Division to balance prudent risk management, regulatory oversight, business development, and client relationship management. The position… more
- Deloitte (New York, NY)
- …workshops in Microsoft PowerPoint + Experience with wire transfers, trade finance, broker / dealer trades. Data governance , data lineage, data testing. ... Senior Consultant, Anti-Money Laundering Analytics About Deloitte Regulatory , Risk & ForensicOur Deloitte Regulatory ,...About Deloitte Regulatory , Risk & ForensicOur Deloitte Regulatory , Risk & Forensic team helps client leaders translate… more
- TD Bank (New York, NY)
- …of experience in financial services + Strong knowledge and understanding of the broker - dealer regulatory environment and requirements + Strong background in ... ensures alignment of first line functions, risk functions and governance and oversight programs, and works closely with TD...+ Plan, lead, and execute on key business and regulatory priorities led by the OCOO + Identify and… more