- MUFG (New York, NY)
- …our recruitment team will provide more details. **Main Responsibilities:** The US and Canada Broker Dealer Treasury team is part of the HoldCo Treasury, Capital ... Reporting directly to the Treasurer, the AVP will have involvement in all broker dealer treasury functions including funding and liquidity risk management, asset… more
- Guardian Life (Albany, NY)
- …familiarity of state insurance laws (inclusive of NAIC). + 3-5 years of broker - dealer and registered investment advisor compliance experience, with ... Department. We drive a high-performance culture across our Legal, Compliance , and Government Affairs functions, aligned to "what" we...experience at an insurance-affiliated broker / dealer as a plus. + Prior examination, auditing or… more
- Marex (New York, NY)
- …in line with below responsibilities: + Provide Compliance Advisory services to US Broker Dealer business lines. + Complete or assist in completing US ... Broker Dealer related regulatory inquiries. + Complete...Policies and Procedures and Written Supervisory Procedures. + Provide Compliance Advisory services for US Broker Trade… more
- SMBC (New York, NY)
- …role within the Financial Institutions Group will be responsible for Banks and Broker Dealer client coverage, including all aspects of client development, new ... the origination and execution of transactions with Banks and Broker Dealer clients + Work closely across...of general elements of credit risk as well as legal/ compliance related to Bank and Broker Dealers… more
- MUFG (New York, NY)
- …bridge between our operations teams and the underlying technology that powers our broker dealer settlement engine. The role demands deep expertise in trade ... + Maintain and update operating procedures, stay current on evolving broker ‑ dealer settlement rules and regulatory requirements, and ensure adherence… more
- BMO Financial Group (New York, NY)
- … 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 closely ... and fiduciary obligations are met. You will have a specific focus on compliance oversight over BMO's Fixed Income activities, and maintain current knowledge of… more
- TD Bank (New York, NY)
- …Compliance experience **Preferred Qualifications:** + Experience with a registered US broker dealer , regulator, or global financial organization. + JD ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $180,000 - $225,000 USD TD is...details for this role. **Job Description:** This Director - Compliance role will be a key member of the… more
- TD Bank (New York, NY)
- …Compliance experience **Preferred Qualifications:** + Experience with a registered US broker dealer , regulator, or global financial organization. + Knowledge ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $140,000 - $180,000 USD TD is...specific details for this role. **Job Description:** This VP Compliance role will be a key member of the… more
- TD Bank (New York, NY)
- …risks and taxonomies related to consumer and commercial banking, securities ( broker - dealer ), and wealth management businesses + Excellent written, verbal ... more specific details for this role. **Line of Business:** Compliance **Job Description:** **Department Overview:** **Why Work with Us?**...Overview:** **Why Work with Us?** At TD Bank US Compliance , we're on a mission to build a more… more
- TD Bank (New York, NY)
- …**Preferred Qualifications:** + 10 or more years of experience with a registered US broker dealer or regulator. + JD desirable but not required. + Knowledge ... New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $180,000 - $225,000 USD TD is committed to providing fair… more