- SMBC (New York, NY)
- …benefits to its employees. **Role Description** SMBC is seeking an experienced Liquidity Audit Manager with a minimum of 7 years' experience in the banking & finance ... industry to work within the Internal Audit Department. The Audit Manager will report to the Risk Stripe Lead and be responsible to design and supervise execution of… more
- Neuberger Berman (New York, NY)
- …state registrations, and related regulatory reporting. **Key Responsibilities:** + Review and complete pre-hire Workday requests for potential new hires ... new hire onboarding processes for new employees: monitor fingerprint submissions, review and distribute new hire documents (compliance manual, brokerage account… more
- Neuberger Berman (New York, NY)
- …swaps, cash). + Review and process daily cash wires across multiple broker and custodian relationships. + Research and resolve books & records exceptions. + ... ._ Founded in 1939, Neuberger Berman is a private, independent, employee-owned investment manager . From offices in 39 cities worldwide, the firm manages $558 billion… more
- DHL Express, Inc. (Jamaica, NY)
- …**Start YOUR career with DHL today ** As a **Sr. Import Compliance Manager ** you will implement and enforce DHL's Customs policies and procedures. DHL's continued ... success relies upon this role's ability to review , interpret and implement existing and new DHL policies....and BIS Relations **Skills and Qualifications:** + **Valid Customs Broker License required** + Typically requires Bachelor's or Master's… more
- Cushman & Wakefield (New York, NY)
- …+ Lead bi-annual Talent Review with HR business partner and provide ongoing broker feedback and coaching + Broker performance management (up or out), with ... is responsible for realizing the full potential of their respective broker pod (approximately 50-70 brokerage professionals), and is ultimately accountable to… more
- NatWest Markets (Stamford, CT)
- Regulatory Reporting Manager , VP LocationStamford,United States Job typePermanent Contract typeFull Time \#R-00253123 Our people work differently depending on their ... reporting for SEC, CFTC, andother regulatory agencies. Responsibilities + Complete or review reports for daily SEC 15c3-1 capital computations, FRB 2004 reports, TIC… more
- TD Bank (New York, NY)
- …**Job Description:** Our TD Securities Compliance team is seeking a VP Compliance Manager for the brand new Trade Surveillance Quality Assurance team to develop and ... build out a global Surveillance QA program. The Surveillance Quality Assurance Manager will contribute to and help lead a specialized function responsible for… more
- SMBC (New York, NY)
- …across CUSO Market Risk and other risk stripes under the Swap-Dealer and Broker -Dealer legal entity CRO umbrella. - Track and manage regulatory, audit, and ... issues. - Engage with issue owners to monitor remediation activities, assess risks, review remediation plans, and assist with preparation, review and challenge… more
- The Hartford (New York, NY)
- Account Manager - OA09HN We're determined to make a difference and are proud to be an insurance company that goes well beyond coverages and policies. Working here ... 3 days a week (Tuesday through Thursday). The Account Manager , as part of Global Specialty Operations, will serve...for renewal prep work and underwriting thought process + Review and analyze Endorsement requests, escalate issues as required,… more
- Robert Half Finance & Accounting (New York, NY)
- Description Robert Half Financial Services are hiring for a Compensation Accounting Manager role for a global Broker Dealer & Capital Markets firm located in ... with 1 day work from home. This Compensation Accounting Manager role reports into the US CFO with a...templates for AOP process. + Work with HR to review employee expenses and provide reporting to allow monitoring.… more
- Acosta Group (New York, NY)
- **DESCRIPTION** As a **Business Manager ,** you will play a pivotal role in driving our company's success by achieving key business objectives and fostering strong ... objectives are met. + **Leadership and Reporting:** Report directly to the General Manager or Team Leader, managing and participating in the development, design, and… more
- Wells Fargo (New York, NY)
- **About this role:** Wells Fargo is seeking a Branch Support Manager in Wealth and Investment Management as part of Wells Fargo Advisors. Learn more about the career ... of operations, compliance, and technology + Collaborate with the Brokerage Support Manager and other support team members, as projects require, ensuring consistent… more
- TD Bank (New York, NY)
- …this role. **Line of Business:** TD Wealth **Job Description:** The Financial Advisor Manager (FAM) is responsible for the direct management of a team of Financial ... responsibility for suitability, knowledge of products & platform, ultimate review of the business activity. The FAM will be...Language:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements… more
- CBRE (New York, NY)
- Transaction Manager Job ID 244563 Posted 22-Oct-2025 Role type Full-time Areas of Interest Transaction Management Location(s) New York City - New York - United ... at CBRE. **About the role:** As a CBRE Transaction Manager , you will provide ongoing management of real estate...+ Coordinate the negotiation of sales through a field broker . This includes negotiating leases and lease amendments, monitoring… more
- TD Bank (New York, NY)
- …candidate will manage the preparation and consolidation of the monthly close, review entries and reconciliations for broker -dealer and non- broker -dealer ... equity rolls, and all aspects of US and Non-US financial reporting. + Review and analyze documentation of monthly accounting entries in accordance with US GAAP… more
- Bank of America (New York, NY)
- …Group (MAG) Financial Advisor (FA) is a fully licensed, non-commission based retail broker position that operates as part of a centralized coverage team that ... account servicing. The Financial Advisor (FA) is a licensed retail broker position that provides investment advice and recommendations to clients. Profiling… more
- TD Bank (New York, NY)
- …business lines + liaising with Legal and outside counsel, where necessary, to review and prepare responses + Develop and implement processes to streamline and ... standardize annual reporting to regulators across broker -dealers and swap dealers and draft relevant content +...have regular career, development, and performance conversations with your manager , as well as access to an online learning… more
- Zurich NA (New York, NY)
- …travel as necessary to support the needs of the team and to cultivate key broker relationships. This is a critical role in driving an engaging team culture. This ... Underwriting Mgr or AVP, Underwriting Mgr- Middle Market Level. The hiring manager will determine the appropriate level based upon the selected applicant's… more
- Zurich NA (New York, NY)
- …have the flexibility to work on a hybrid basis. You will partner with your manager to set a flexible work schedule that supports you, our customers, and our brokers ... be filled at either an Underwriter or Underwriting Specialist. The hiring manager will determine the appropriate level based upon the selected applicant's experience… more
- TD Bank (New York, NY)
- …and logging regulatory issues and/or remedial action plans + Support the review and interpretation of aggregated results and identify methodology deviations, quality ... to the role which is outlined in the general summary below. Please review Desired Skills and Experience below as you consider this opportunity. **Job Summary:**… more
