- SMBC (New York, NY)
- …well organized with project management skills. + Regulatory compliance experience at a broker dealer and or swap dealer preferred. BA/BS required. Series ... Critical Job Knowledge and Core Competencies/Skills: + Extensive Compliance Advisory experience at a broker dealer and or swap dealer . + Strong knowledge in… more
- BMO Financial Group (New York, NY)
- Our ideal candidate has FINRA examiner background with broker dealer experience including SEC 15c3 experience, possessing a strong understanding of broker ... is implemented, managed, and monitored in the business/group. The governance framework includes SEC/FINRA regulatory policies, guidelines and provides… more
- TD Bank (New York, NY)
- …assisting with adherence to enterprise-wide initiatives including global policies and governance . + Coordinate regulatory and audit requests, delivering timely, ... in risk, compliance or financial crimes risk management, preferably within the broker - dealer industry at a large financial institution. + Strong verbal… more
- TD Bank (New York, NY)
- …training.** + **Experience responding to client complaints within a bank or broker - dealer .** + **Experience reviewing and providing guidance on advertising and ... senior management of the Bank with respect to significant regulatory compliance risk matters. + Empowered to make prudent...marketing materials for a broker - dealer /bank.** + **Prior testing, audit or business… more
- Mizuho Corporate Bank (New York, NY)
- …designed to add value and improve Mizuho Bank's US operations including derivative activities, broker dealer and swap dealer businesses. Based in the New ... areas of the bank to evaluate the effectiveness of risk management and governance processes. Along with its counterparts in London, Hong Kong and Singapore, IADA… 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
- NatWest Markets (Stamford, CT)
- …management, and reference data functions / flow. + Direct understanding of US regulatory requirements specific to Broker Dealer Operations. + Individual ... incidents. + Ensure Broadridge preparedness on any Industry, Change, and Regulatory initiatives. + Identifyand own opportunities to re-engineer processes & controls… more
- Scotiabank (New York, NY)
- …years of compliance experience, including experience providing advisory support to a broker - dealer equities sales and trading business. + Knowledge of relevant ... management and US Compliance personnel on relevant compliance issues, the regulatory environment, and Compliance Department initiatives by actively participating in… more
- Wells Fargo (New York, NY)
- …regional broker dealers, derivative operations that support its Swap Dealer (WFBNA) including regional branches, and its Global Payments Services, Mortgage ... and CIB Control for Rates + Represent Trade Surveillance on various governance forums + Actively participate in risk assessments and parameters setting activities… more
- Citigroup (New York, NY)
- …proposals and new financial product proposals in Fixed Income Credit and Broker Dealer and Banking products, and provide independent liquidity risk ... and cashflow trends in the economic environments. Enhance firm-wide liquidity risks governance frameworks to improve responsiveness to changes in the regulatory … 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 ... areas of the bank to evaluate the effectiveness of risk management and governance processes. Along with its counterparts in London, Hong Kong and Singapore, IADA… more