- TD Bank (New York, NY)
- …a similar degree + 10 or more years of experience in, with a registered US broker dealer or regulator, Branch Inspections testing a plus. + Strong knowledge of ... 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
- ManpowerGroup (New York, NY)
- …with large, complex projects involving multiple teams + Knowledge of securities broker / dealer registration and licensing rules + Proficiency in creating policy, ... Our client is seeking a Employee Compliance Registrations professional to join their team. As...Registrations professional to join their team. As a Employee Compliance Registrations specialist, you will be part of the… more
- MUFG (New York, NY)
- …and other Control personnel to determine MSIIs / audit points. Assist the broker dealer entity in correctly Identifying the overall issue owner, deliverables ... updates + Assist in identifying data risks in RCSAs across the broker dealer entity (adhoc risk / controls reviews, group self-assessments, and controls testing)… more
- Foresters Financial Services (Albany, NY)
- …independent and institutions-based advisors the benefits of a large, established broker - dealer and registered investment adviser, while serving advisors and ... Cetera include award-winning wealth management and advisory platforms, comprehensive broker - dealer and registered investment adviser services, practice… more
- MUFG (New York, NY)
- …Summary: We seek a skilled QA Engineer Analyst to join our team at a leading broker dealer in the capital markets. This role focuses on ensuring the quality and ... with cloud platforms (AWS, Azure, GCP). Preferred Qualifications: - Experience in broker dealer or financial services environment. - Certifications in QA… more
- Citizens (New York, NY)
- …aspects within the Bank's full-service wealth management business, which includes RIA, Broker Dealer and Trust (including Delaware trust) offerings and services. ... 10+ years of legal experience with substantial experience in the RIA and Broker - Dealer space. + Thorough familiarity with federal securities laws, including the… more
- Kestra Financial (Kings Park, NY)
- …record keeping adheres to compliance standards + Successfully partner with Broker Dealer for new account establishment, account maintenance, and ... in the financial services industry allowing for a good understanding of broker / dealer operations and financial services products, and basic financial planning… 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
- CIBC (New York, NY)
- …You'll Succeed** + Supervise and conduct surveillance of the US registered broker - dealer securities trading products, as well as OTC derivative/swap trading ... degree + Minimum 5+ years' experience in handling securities and OTC derivative/swap compliance issues gained at an investment dealer , regulator or marketplace +… 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