- 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
- 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
- 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
- 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
- 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
- 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
- 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 ... all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively following and adhering to applicable… 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
- 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 ... Innovation book of work aligned to product area vision and goals, regulatory expectations, and emerging technology trends + Champion experimentation and iterative… 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 ... regulatory obligations, which include periodic screening and mandatory reporting...sound risk decisions. There is emphasis on proactive monitoring, governance , risk identification and escalation, as well as making… 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 ... regulatory obligations, which include periodic screening and mandatory reporting...sound risk decisions. There is emphasis on proactive monitoring, governance , risk identification and escalation, as well as making… 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
