- TD Bank (New York, NY)
- …control partners and the TDS front office. TD Securities is looking for a broker -dealer accountant to join its Product Control division in New York City. Associate - ... its IFRS and GAAP books and records and regulatory filings for its US broker -dealers as well as non broker dealers. Specific responsibilities will include, but… more
- SMBC (New York, NY)
- …and reporting approaches). - Understand regulatory requirements applicable to Swap-Dealer, Broker -Dealer, and Bank entities. **Communication and Leadership:** - ... 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… more
- TD Bank (New York, NY)
- …Business:** Compliance **Job Description:** **Department Overview:** **Why Work with Us?** At TD Bank US Compliance, we're on a mission to build a more resilient and ... start-up-like setting as we build a new compliance structure that aligns with the bank 's size, complexity, and risk profile. In this role, you'll need to be… more
- TD Bank (New York, NY)
- …Business:** Compliance **Job Description:** **Department Overview:** **Why Work with Us?** At TD Bank US Compliance, we're on a mission to build a more resilient and ... start-up-like setting as we build a new compliance structure that aligns with the bank 's size, complexity, and risk profile. In this role, you'll need to be… more
- TD Bank (New York, NY)
- …for this role. **Job Description:** **Preferred Qualifications:** **Corporate Profile** **TD Bank Group** Headquartered in Toronto, Canada, with more than 85,000 ... employees in offices around the world, The Toronto-Dominion Bank and its subsidiaries are collectively known as TD...quant library + React and AngularJS + Solace message broker + Hazelcast and ZeroMQ for distributed computing +… more
- Bank of America (New York, NY)
- …Acknowledge (https://ghr.wd1.myworkdayjobs.com/Lateral-US/job/Charlotte/EFR-Liquidity-Risk-Sr-Specialist\_25030378) **Job Description:** At Bank of America, we are ... we make an impact in the communities we serve. Bank of America is committed to an in-office culture...& LOB team and approval via senior executives and broker -dealer Board of Directors, as appropriate. Monitor and notify… more
- TD Bank (New York, NY)
- …Wealth Senior Leadership Team, Federated Partners (Compliance, Legal), and AMCB Consumer Bank teams to ensure that all regulatory, compliance, audit, and self-ID ... **OCC:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements...leading global financial institutions and is the fifth largest bank in North America by branches/stores. Every day, we… more
- TD Bank (New York, NY)
- …This team has oversight of TD's retail banking, commercial banking, and broker dealer funding activities. Working knowledge of key liquidity regulations such as ... Acts as a brand ambassador for your business area/function and the bank , both internally and/or externally **Physical Requirements:** Never: 0%; Occasional: 1-33%;… more
- TD Bank (New York, NY)
- …a similar degree required. + 2 years of experience with a registered US broker dealer or regulator. + Problem solving skills and the ability to work independently. ... Position will support the Chief Compliance Officer (CCO) in ensuring the Bank 's compliance with all applicable Federal consumer protection laws and regulations.… more
- City National Bank (New York, NY)
- …employed by Magnit Global. You will not be employed by City National Bank . *The Opportunity* The New Account Specialist provides operational support to the Portfolio ... acting as the intermediary between the receiving and delivering broker dealer, and see that the account is properly...* 3 to 5 years of experience in a broker dealer or investment industry * Minimum 3 years… more