- 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
- Wells Fargo (New York, NY)
- …a focus on margin and Prime Brokerage accounts + Strong knowledge of Broker - Dealer Operations functions with a preference for margin regulations and frameworks, ... this role, you will:** + Monitor client accounts for compliance with Regulatory (Reg. T, FINRA 4210, Reg U)...strong client service orientation + Collaborate with Sales, Trading, Compliance , IT, Operations, and Middle Office teams to support… more
- 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
- 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 (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 (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 (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 (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
- 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
- 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