- 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)
- …as the technical bridge between operations and the technology that powers our broker - dealer settlement engine. This role requires deep expertise in trade flows, ... or a related field. * 8+ years of progressive experience in broker - dealer back office, financial technology, or equivalent financial operations roles.… more
- BMO Financial Group (New York, NY)
- …Compliance ("FICC") team in New York with a focus on FINRA and SEC broker - dealer requirements and corresponding oversight. We are looking for someone to work ... 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)
- …JD desirable but not required. + 7 years of experience with a registered US broker dealer , swap dealer , Global Systematically Important Bank (GSIB), or ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $145,000 - $185,000 USD TD is...specific details for this role. **Job Description:** This VP, Compliance is a key member of the TDS US… more
- TD Bank (New York, NY)
- …JD desirable but not required. + 5-7 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:** $140,000 - $180,000 USD TD is committed to providing fair… more
- TD Bank (New York, NY)
- …regulations, risks and taxonomies related to consumer and commercial banking, securities ( broker - dealer ), and wealth management + Excellent written, verbal and ... 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
- City National Bank (New York, NY)
- … Compliance roles, experience with a financial institution such as a broker / dealer and/or registered investment adviser. * For Wealth Management Compliance ... * COMPLIANCE ANALYST* *WHAT IS THE OPPORTUNITY?* The Compliance Analyst will be responsible for monitoring, oversight and independent review and assessment of the… more
- TD Bank (New York, NY)
- …or the equivalent experience at a regulatory body (eg, leading a bank or broker / dealer exam team). + Surveillance experience at Financial Market Regulator (eg, ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $150,000 - $185,000 USD TD is...details for this role. **Job Description:** Our TD Securities Compliance team is seeking a VP Compliance … more
- TD Bank (New York, NY)
- …BA/BS, or a similar degree required. + 2 years of experience with a registered US broker dealer or regulator. + Problem solving skills and the ability to work ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $75,000 - $95,000 USD TD is...more specific details for this role. **Job Description:** The Compliance Officer within Regulatory Relations Core Compliance … more
- City National Bank (New York, NY)
- …Management Compliance roles, experience with a financial institution such as a broker / dealer and/or registered investment adviser/ and the OCC. * For Wealth ... * COMPLIANCE OFFICER SENIOR-INVESTMENT ADVISORY* *WHAT IS THE OPPORTUNITY?* The Senior Compliance Officer will act in a compliance oversight and advisory role… more