- SMBC (New York, NY)
- …function to the President and is responsible for overseeing the management of the broker dealer's compliance risk and is represented by the Chief Compliance ... and Core Competencies/Skills: + 4-7 years of regulatory and/or advisory compliance experience at a broker dealer. + A solid foundation in US securities laws and… more
- Robert Half Finance & Accounting (New York, NY)
- Description Robert Half Financial Services is recruiting for a Compliance role for an International Broker Dealer firm located in midtown Manhattan, New York. ... Our client requires 4+ years of Compliance experience at a Broker Dealer or an RIA, with knowledge of FINRA Regulations/Filings, policies/procedures, personal… more
- BMO Financial Group (New York, NY)
- …-dealer CCO would manage the implementation, maintenance and administration of the broker -dealer compliance programs. Broker -dealer businesses include. but ... The BMO Capital Markets Compliance team is hiring for a CCO of it's two US broker -dealer entities in New York, BMO Capital Markets Corp (BMOCMC) and Clearpool… more
- CIBC (New York, NY)
- …US Compliance Examination Plan established to ensure adherence with broker -dealer requirements and compliance with federal and self-regulatory organization ... related laws and regulations + Understanding of the inherent compliance issues facing broker -dealers + Excellent verbal and writing skills + Strong interpersonal… more
- PNC (New York, NY)
- …you will be within PNC's Internal Audit organization, supporting the Compliance Audit team supporting Corporate & Institutional Banking, Treasury Management, Swap ... Dealer & Broker Dealer. This position is primarily based in a...to get things done **Job Description** + Manages financial, compliance , and/or operational audit reviews, including the evaluation of… more
- Canon USA & Affiliates (Melville, NY)
- …or equivalent experience required, plus 7 years of related experience - Licensed Customs Broker - Customs & Trade Compliance experience is required - Strong ... Melville, NY is currently seeking a Customs & Trade Compliance Advisor (Advisor, Logistics). The Customs & Trade ...Compliance Advisor (Advisor, Logistics). The Customs & Trade Compliance Advisor serves as a subject matter resource within… more
- ITT (Seneca Falls, NY)
- …opportunity + Develop monthly KPI's to report to the Director of Trade Compliance on broker performance, duty costs, opportunities, etc. + Support Supply ... energy markets. **Position Summary** This position is responsible for Trade Compliance processes, procedures, and performing daily activities to support the North… more
- Marex (New York, NY)
- …Annual Compliance Plan in line with below responsibilities: + Provide Compliance Advisory services to US Broker Dealer business lines. + Complete ... Policies and Procedures and Written Supervisory Procedures. + Provide Compliance Advisory services for US Broker Trade...+ Provide Compliance Advisory services for US Broker Trade Surveillance process. + Provide Compliance … more
- Molina Healthcare (Rochester, NY)
- **Job Description** **Job Summary** Responsible for supervising National Broker Advisors for the Molina Marketplace products. Supervise day to day operations of new ... Marketing General Agency and independent contracting, down line broker applications commissions, Broker Agent appeals/grievances, educating Brokers on plan… more
- MUFG (New York, NY)
- …team will provide more details. **Main Responsibilities:** The US and Canada Broker Dealer Treasury team is part of the HoldCo Treasury, Capital Management ... directly to the Treasurer, the AVP will have involvement in all broker dealer treasury functions including funding and liquidity risk management, asset liability… more