• Vice President, Capital Markets Conduct Risk…

    BMO Financial Group (New York, NY)
    …activities, risk taxonomies and applicable regulations surrounding them. + Knowledge of the Broker Dealer and Banking Regulations, which include but not limited ... and operating the First Line of Defense's Operating Group Compliance Program (OGCP). The OGCP is the system of...First Line of Defense to achieve and sustain risk-based compliance with applicable laws and regulatory requirements, and to… more
    BMO Financial Group (11/26/25)
    - Related Jobs
  • Financial Crime Risk Oversight Specialist

    TD Bank (New York, NY)
    …and experience in AML compliance , preferably including investment banking / broker - dealer experience at a large financial institution. + Excellent verbal and ... financial crime risk. This involves providing guidance on regulatory compliance , close partnership with business and legal, and operationalizing requirements… more
    TD Bank (11/05/25)
    - Related Jobs
  • Markets Innovation/Equities Senior Product…

    Wells Fargo (New York, NY)
    …statutory disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing ... and modular architecture principles, in alignment with strategic objectives and compliance requirements + Responsible for working with stakeholders to oversee,… more
    Wells Fargo (11/14/25)
    - Related Jobs
  • Equity Research, Associate - REIT

    Wells Fargo (New York, NY)
    …statutory disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing ... while developing the knowledge to understand function, policies, procedures, and compliance requirements + Collaborate and consult with peers, colleagues and… more
    Wells Fargo (11/27/25)
    - Related Jobs
  • Vice President - eRates Algorithmic Trading…

    Wells Fargo (New York, NY)
    …statutory disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing ... periodic screening and mandatory reporting of certain incidents. + Specific compliance policies may apply regarding outside activities or personal investing;… more
    Wells Fargo (10/31/25)
    - Related Jobs
  • Investment Banker, Vice President - Healthcare

    Wells Fargo (New York, NY)
    …statutory disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing ... include periodic screening and mandatory reporting of certain incidents. Specific compliance policies may apply regarding outside activities or personal investing;… more
    Wells Fargo (10/28/25)
    - Related Jobs
  • Director - Regulatory & Supervisory Management,…

    TD Bank (New York, NY)
    …Equities. + FINRA Series 7 & 24 licenses required + Deep knowledge of US Broker Dealer regulation; more specifically FINRA and MSRB rules & regulations, industry ... regulatory obligations and manage employee conduct and behaviors to ensure compliance . GMS maintains strong relationships with registered Supervisors to oversee a… more
    TD Bank (10/02/25)
    - Related Jobs
  • Financial Advisor - Centralized

    Santander US (Brooklyn, NY)
    …related sales and revenue goals as defined on a quarterly basis. * Maintain compliance with all applicable bank, broker / dealer , State and Federal regulations ... client objectives, and making appropriate investment/insurance recommendations consistent with compliance standards to achieve sales results and long-term client… more
    Santander US (11/21/25)
    - Related Jobs
  • Eastern Advisor Recruiting Director

    Raymond James Financial, Inc. (New York, NY)
    …managing recruitment teams and working with independent advisors or broker - dealer environments preferred. **Licenses/Certifications** SIE required (unless ... improvement. Collaborate with cross-functional teams (eg, Transition Services, Marketing, Compliance ) to ensure a seamless advisor onboarding experience. Expand the… more
    Raymond James Financial, Inc. (11/25/25)
    - Related Jobs
  • Senior Associate, Licensing Maintenance

    Ankura (New York, NY)
    …commercial lending, mortgage lending, consumer collections agencies and securities/brokerage [ broker dealer , registered investment advisor, exempt registered ... as support during the post- license examination process. Ankura's team of compliance professionals and former regulators provides expert guidance from the day of… more
    Ankura (11/13/25)
    - Related Jobs