- Citigroup (Getzville, NY)
- …analytical skills. + 4+ years of related experience in the banking / broker - dealer industry. + Material experience with operational risk disciplines; processes, ... and external audits. + Maintain communication with the Business, Compliance , IT, and the Control & Reconciliation Group to...Familiarity with SEC Rule15c3-1 & 15c3-3, brokerage accounting, and broker - dealer regulatory filing is a plus. +… more
- Raymond James Financial, Inc. (New York, NY)
- …and an understanding of the market standard risk management practices . Broker - dealer supervisory frameworks, retail investment platforms, and UHNW product risks ... of fifteen (15) years of financial services experience required . Experience in broker - dealer or wealth management firms preferred, especially with exposure to… more
- US Bank (New York, NY)
- …counsel supporting capital markets products + Experience with securities laws and broker - dealer regulatory matters + Experience with corporate finance, in ... with regulatory authorities, especially the SEC and FINRA + Experience with broker - dealer corporate governance + Familiarity and experience with relevant trade… 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 ... design and methodology, implementation and model documentation. - Ensure compliance with the Mizuho Americas Model Risk Management Policy...as SR 11-7 - Document third line work in compliance with the Internal Audit Manual. - Evaluate the… 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 / ... equal opportunity employer (EOE, including disability/vet) committed to non-discrimination in compliance with applicable federal, state, and local laws. Capital One… 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) ... national leader in public finance investment banking, a named dealer on more than 50 commercial paper programs, and...all activities and duties are carried out in full compliance with regulatory requirements and internal policies and procedures… 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 ... significance and impact on risk and/or risk management practices. + Maintain compliance with audit methodology, while also operating within industry best practices,… 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, ... New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $140,000 - $185,000 USD TD is committed to providing fair… more
- TD Bank (New York, NY)
- …accordance with Firm policy and regulatory requirements. TD has been growing its US Broker Dealer activities over the last few years both organically and through ... with management / control function partners (eg Risk, Legal, Compliance , AML and Audit) to assess risks, develop and...automated (Algo) trading and sales activities in coordination with Compliance or relevant Risk and Control teams. + Conduct… more
- TD Bank (New York, NY)
- …unstructured and fast paced environment **OCC:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA and ... in Wealth by partnering with US Wealth Senior Leadership Team, Federated Partners ( Compliance , Legal), and AMCB Consumer Bank teams to ensure that all regulatory, … more