- Wells Fargo (Rochester, NY)
- …priorities + 2+ years of financial services industry experience + Experience in compliance or broker - dealer governance **Job Expectations:** + US only: ... statutory disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing… more
- Guardian Life (New York, NY)
- …familiarity of state insurance laws (inclusive of NAIC). + 3-5 years of broker - dealer and registered investment advisor compliance experience, experience at ... standards impacting Guardian's retail wealth management business, including its affiliated broker - dealer and investment adviser entities. + Assist with the… more
- TD Bank (New York, NY)
- …the monthly close, review entries and reconciliations for broker - dealer and non- broker - dealer entities and ensure compliance with US GAAP and IFRS ... principles, US GAAP, and IFRS. + Knowledge of Sarbanes-Oxley controls and compliance requirements. + Advanced proficiency in Microsoft Excel and automation tools… more
- 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
- SMBC (New York, NY)
- …issue management across Combined US Operations (CUSO), the SMBC Capital Markets Swap Dealer , and Nikko Securities America's Broker - Dealer entity. This role ... and internal controls). - Strong understanding of regulatory requirements applicable to Swap- Dealer , Broker - Dealer , and Bank entities. Communication and… more
- SMBC (New York, NY)
- …Assist in preparing high quality materials for Risk Committees (Tier 1 and 2), Swap Dealer and Broker Dealer oversight forums - Help review policies, ... Coordination Team across Combined US Operations (CUSO), the SMBC Capital Markets Swap Dealer , and Nikko Securities America's Broker - Dealer entity. This role… more
- TD Bank (New York, NY)
- …but not required + 5 or more years of experience with a registered US broker dealer , swap dealer , Global Systematically Important Bank (GSIB), or associated ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $110,000 - $135,000 USD TD is...or more years of experience with a registered US broker dealer or regulator. + JD desirable… more
- Neuberger Berman (New York, NY)
- …in a related business field + 3-5 years' experience in registration, licensing, or compliance within a broker - dealer or investment adviser + Proactive, ... is looking for a Senior Registration Analyst to join our Legal and Compliance team, focusing on the day-to-day processing of registration information to ensure … more
- TD Bank (New York, NY)
- …JD desirable but not required. + 7-10 years of experience with a registered US broker dealer , swap dealer , Global Systematically Important Bank (GSIB), or ... 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