- 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
- 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
- Santander US (New York, NY)
- …controls related to the Swap Dealer (eg Dodd Frank/EMIR/MiFid) and coverage for Broker Dealer controls in coordination with the controls Team. Act as back up ... controls to mitigate such risks. Capable of learning back up controls for the Broker Dealer where needed. Knowledge of Sentinel/Bloomberg. * In depth knowledge… 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
- 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
- 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)
- …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
- 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
- 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 ... training, military experience, education + US Only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7 and 63 or 7 and 66 examinations… 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
