- Axis (New York, NY)
- …Accommodation is available upon request for candidates taking part in the selection process. Head of US Broker Compliance Job Family Grouping: Operations ... Compliance How does this role contribute to our collective success? As the Head of Broker Compliance at AXIS, you will play a pivotal role in ensuring… more
- City National Bank (New York, NY)
- * Head of Deposit and Operations Compliance * WHAT IS THE OPPORTUNITY? The Head of Deposit and Operations Compliance will act in a compliance advisory ... role supporting consumer banking on matters of regulatory compliance . The role will be responsible for managing and maintaining assigned areas of the compliance … more
- Capital One (New York, NY)
- Director, Head of Surveillance As the Director, Head of Surveillance, part of Capital One's Compliance organization you will manage Capital One's Electronic ... Capital One's Commodity Futures Trading Commission (CFTC) Swap Dealer and three Broker -Dealers. You will maintain the Surveillance function in order to reduce and… more
- Axis (New York, NY)
- …North America Reinsurance P&C Claims team. This role reports directly to the Global Head of Reinsurance Claims. The candidate should possess the ability to lead and ... and processes to ensure optimal efficiency and customer service, including compliance with Key Performance Indicators (KPIs) to ensure delivery of internal… more
- Broadridge Financial Solutions (New York, NY)
- …while helping others along the way, come join the Broadridge team. Reporting to the Head of Corporate Actions and Income Processing based in the UK with a dotted ... industry relationships (C suite) in the Wealth Management industry (front office, compliance , industry organizations and back office). + Proven track record of… more
- AIG (New York, NY)
- …insurance solutions for our global customers, empowering our clients and broker partners to navigate complex cross-border risks with confidence and consistency. ... and in alignment with and support of AIG USA's growth plans/strategies. + Support the Head of Multinational - North America to expand AIG MN's presence in the market… more
- TD Bank (New York, NY)
- …and execution of the annual Compliance Test Plan. + Work closely with the Head of Compliance Monitoring and Testing and the other Compliance Testing ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $180,000 - $225,000 USD TD is...or more years of experience with a registered US broker dealer or regulator. + JD desirable but not… more
- Marex (New York, NY)
- …visit www.marex.com (http://www.marex.com/) Purpose of Role: Marex is recruiting for a Surveillance Compliance officer to join their team in New York. The role will ... opportunity to gain exposure to a wider range of compliance activities at a market-leading firm. Marex has unique...E-communications, Voice, and Trade Surveillance review services to US Broker Dealer (BD) and FCM business lines + Review… more
- CIBC (New York, NY)
- …to our Capital Markets and Canadian Commercial & Wealth franchises. Reporting to the Head of US Compliance Examination Program, the Compliance Examination ... Specialist is accountable for execution of the US Compliance Examination Plan established to ensure the company's ...+ OCC regulated trust company, + SEC registered/FINRA member Broker Dealer, + FDIC insured depository institution regulated by… more
- Mizuho Corporate Bank (New York, NY)
- …to add value and improve Mizuho Bank's US operations including derivative activities, broker dealer and swap dealer businesses. Based in the New York Metro area, ... conduct tollgate reviews with audit teams, assist with annual planning, coordinate with Head Office, and assist with various reporting. Job Description + Under the… more
- The Hartford (New York, NY)
- …theirs, too. Join our team as we help shape the future. Reporting to the Head of Wholesale Excess Casualty East, the Managing Director's primary focus is on growing ... developing assigned region for excess casualty business, builds on existing broker relationships to increase production sources and identify profitable market… more
- TD Bank (New York, NY)
- …New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $135,000 - $190,000 USD TD is committed to providing fair ... specific details for this role. **Job Description:** TD Securities Compliance team is seeking a Surveillance Quality Assurance Manager...Team. The SIU in turn reports to the Global Head of Surveillance. This incumbent will ensure that surveillance… more
- Mizuho Corporate Bank (New York, NY)
- …Further, the team plays a key role (in collaboration with legal, compliance , IT, etc) in the analysis, requirements specifications, and implementation of new ... regulatory rules and will contribute analysis and translation of various Broker -Dealer regulatory requirements in collaborations with other stakeholders (eg, legal, … more
- Mizuho Corporate Bank (New York, NY)
- …to add value and improve Mizuho Bank's US operations including the derivatives and broker dealer businesses. Based in the New York Metro area, IADA staff members ... financial services risk management operations, balance sheet management, liquidity, compliance , conduct, financial crime, credit risk, operational and third-party… more
- Guardian Life (New York, NY)
- …will support marketing strategy for the annuity line of business, reporting to the Head of Annuity and Retirement Marketing. This person will be an integral member ... execute with excellence. Key stakeholders include Product Development, Distribution, Compliance , Legal, Technology, and outside vendors. **Responsibilities:** + Responsible… more
- JPMorgan Chase (New York, NY)
- …providers and administrators, financial operations, legal & compliance , staffing, financing/counterparty arrangements and information technology/cybersecurity + ... managers (typically senior level non-investment staff - COO, CFO, Head of Ops, CCO) and develop and maintain strong...inside and outside the firm, including service providers, Prime Broker consulting teams and members of industry peer groups… more
- Broadridge Financial Solutions (Newark, NJ)
- …to join our dynamic team in New York. Reporting directly to the Global Head of Digital Asset Solutions, you'll be instrumental in spearheading the growth of our ... + Comprehensive understanding of pricing models, cost projection, and digital asset compliance frameworks. + Demonstrated success in bringing new products to market… more
- SMBC (White Plains, NY)
- …financial institutions. Based in New York City, we are an SEC registered Broker dealer that provides financial products and services to global institutional clients, ... support to the Fixed Income Securities business. The role reports to the Head of Middle Office. **Responsibilities:** . Ensure timely execution of day-to-day middle… more
- MetLife (Bridgewater, NJ)
- …to business intelligence and data science. The Role MetLife is seeking an experienced Head of Data and Analytics for the Sales and other Group level areas within ... analytics team (up to 100 people) and includes responsibility over sales and broker data, underwriting, eligibility, case setup and billing. This involves a variety… more