- US Bank (New York, NY)
- …counsel supporting capital markets products + Experience with securities laws and broker - dealer regulatory matters + Experience with corporate finance, in ... regulatory authorities, especially the SEC and FINRA + Experience with broker - dealer corporate governance + Familiarity and experience with relevant trade groups… more
- Guardian Life (New York, NY)
- …agency and home office personnel + Field inquiries related to transition and broker dealer acclimation + Advocate for & teach colleagues, agency partners, ... projects and ongoing recruitment strategy **You have** + 3-5 years of broker - dealer operations or service experience + Ability to create strong working… more
- Kestra Financial (Kings Park, NY)
- …and record keeping adheres to compliance standards + Successfully partner with Broker Dealer for new account establishment, account maintenance, and compliance ... in the financial services industry allowing for a good understanding of broker / dealer operations and financial services products, and basic financial planning… more
- Citigroup (Getzville, NY)
- …analytical skills. + 4+ years of related experience in the banking / broker - dealer industry. + Material experience with operational risk disciplines; processes, ... plus. + Familiarity with SEC Rule15c3-1 & 15c3-3, brokerage accounting, and broker - dealer regulatory filing is a plus. + Strong interpersonal skills and ability… more
- BMO Financial Group (New York, NY)
- …Fixed Income Compliance team in New York with a focus on FINRA and SEC broker - dealer requirements and corresponding oversight. We are looking for someone to work ... knowledge of multiple FICC market activities preferred including: Primary Dealer , GSEs, Trade reporting (TRACE), communications, supervision, best execution/order… more
- Siebert Williams Shank (New York, NY)
- …platform, and a sound regulatory capital base. We are a SEC-registered securities broker - dealer and member of the Financial Industry Regulatory Authority (FINRA) ... corporate debt, a national leader in public finance investment banking, a named dealer on more than 50 commercial paper programs, and a seasoned and successful… more
- Capital One (New York, NY)
- …Strong risk management mindset with working knowledge of regulatory requirements relevant to the bank's Broker Dealer (SEC / FINRA) and Swap Dealer (CFTC / ... NFA) activities. + Thought leader in the product management discipline with experience building and maturing high performing teams who obsess about clients, delivering value, and getting-stuff-done. + Aptitude to champion strategic technology initiatives to… more
- MUFG (New York, NY)
- …Risk Management with demonstrated familiarity including Sales and Trading; and familiarity with Broker - Dealer and applicable regulations, such as DFA Swap ... Dealer , Volcker and FINRA, SEC and NASD rules. + Experience working with financial industry regulators, including OCC, FRB, and FINRA + Deep knowledge of risk assessment, audit methodology, and audit execution + Demonstrated proficiency in technology as… 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 ... York Metro area, IADA staff members perform various audits of different business 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 reports to and… 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