- PNC (New York, NY)
- …Compliance Audit team supporting Corporate & Institutional Banking, Treasury Management , Swap Dealer & Broker Dealer . This position is primarily based in ... ensure they adhere to and support PNC's Enterprise Risk Management Framework. **Qualifications** Successful candidates must demonstrate appropriate knowledge,… more
- Marex (New York, NY)
- …completing broker - dealer guidance, related to business change proposals, for management review. + Manage broker - dealer Business Line management ... Role: Marex is seeking a Senior Compliance Officer - Broker Dealer Advisory who will provide compliance...technology-led service provides access to all major exchanges, order-flow management via screen, voice and DMA, plus award-winning data,… more
- SMBC (New York, NY)
- …as a regulatory advisory function to the President and is responsible for overseeing the management of the broker dealer 's compliance risk and is represented ... various committees such as the New Product, Underwriting, Risk Management , Compliance, IT Risk and Training committees. The Compliance...years of regulatory and/or advisory compliance experience at a broker dealer . + A solid foundation in… more
- MUFG (New York, NY)
- …to all Enhanced Prudential Standards requirements for US Broker Dealer including Intraday monitoring, collateral management , cash flow forecasting, stress ... provide more details. **Main Responsibilities:** The US and Canada Broker Dealer Treasury team is part of...dealer treasury functions including funding and liquidity risk management , asset liability management , interest rate risk… more
- Marex (New York, NY)
- …Change Approval Committee ()guidance for management review + Manage US Broker Dealer Business Line management relationships. Collaborate to ensure ... Plan in line with below responsibilities: + Provide Compliance Advisory services to US Broker Dealer business lines. + Complete or assist in completing US … more
- Raymond James Financial, Inc. (New York, NY)
- … Management products and an understanding of the market standard risk management practices . Broker - dealer supervisory frameworks, retail investment ... fifteen (15) years of financial services experience required . Experience in broker - dealer or wealth management firms preferred, especially with exposure to… more
- Mizuho Corporate Bank (New York, NY)
- …position requires wide breadth of expertise in various regulatory reporting , especially for broker dealer regulatory reports , as well as experience in managing ... practices. (2) communicate observations and enhancement opportunities to senior management as well as other key stakeholders such as...A ssurance P rogram with various regulatory reports, especially broker dealer reg ulatory report s such… more
- BMO Financial Group (New York, NY)
- Our ideal candidate has a SEC/FINRA examiner background with broker dealer experience including SEC 15c3 experience, possessing a strong understanding of ... broker dealer operations and SEC/FINRA regulations. If...across groups. Applies specialized knowledge of Accounting & Financial management risk, regulatory compliance and internal controls related to… more
- Broadridge Financial Solutions (New York, NY)
- …career, while helping others along the way, come join the Broadridge team. The Bank Broker Dealer Head of Strategy and Business Development is a key member of ... the BBD Management Team and partners directly with the BBD President,...delivering technology-driven solutions that drive digital transformation for banks, broker -dealers, asset and wealth managers and public companies. At… more
- CIBC (New York, NY)
- …and strong work ethic Preferred Qualifications: + 5-7 years of registered US broker - dealer compliance and risk management experience + Prior experience ... the US Compliance Examination Plan established to ensure adherence with broker - dealer requirements and compliance with federal and self-regulatory organization… more