- Marex (New York, NY)
- …and its technology-led service provides access to all major exchanges, order-flow management via screen, voice and DMA, plus award-winning data, insights and ... as required + To escalate risk events immediately + To provide input to risk management processes, as required. The Company may require you to carry out other duties… more
- Guardian Life (New York, NY)
- …serve as the expert on all aspects of our managed account model management , trading platform, annuity operations as well as all associated custody, clearance, and ... on the following functions + Advisor as PM: model creation, management , trading + Multi-Account/Strategy proposals and implementation + Envestnet Trading methodology… more
- TD Bank (New York, NY)
- …regulations, risks and taxonomies related to consumer and commercial banking, securities ( broker - dealer ), and wealth management businesses + Excellent ... to build a more resilient and scalable compliance risk management function. As part of our team, you'll play...the US Head of Compliance Programs + Supports the management of the Compliance Risk Assessment framework to ensure… more
- SMBC (New York, NY)
- …inventory of issues across CUSO Market Risk and other risk stripes under the Swap- Dealer and Broker - Dealer legal entity CRO umbrella. - Track and ... documentation and reporting approaches). - Understand regulatory requirements applicable to Swap- Dealer , Broker - Dealer , and Bank entities. **Communication… more
- Manulife (New York, NY)
- …of relevant experience required + Experience in a legal, banking, broker dealer , regulatory, private equity fund or asset management firm is highly desirable ... screening, monitoring & reporting requirements) + Responsible for the management of Investor Services AML/KYC onboarding due diligence (processes, controls,… more
- Manulife (New York, NY)
- …of relevant experience required + Experience in a legal, banking, broker dealer , regulatory, private equity fund or asset management firm is highly desirable ... screening, monitoring & reporting requirements) + Responsible for the management of Investor Services AML/KYC onboarding due diligence (processes, controls,… more
- MUFG (New York, NY)
- …bridge between our operations teams and the underlying technology that powers our broker dealer settlement engine. The role demands deep expertise in trade ... flows, securities processing, cash management , and settlement across systems such as Broadridge BPS,...Maintain and update operating procedures, stay current on evolving broker ‑ dealer settlement rules and regulatory requirements, and… more
- SMBC (New York, NY)
- …credit officers and our clients. The individual will support activities within our swap dealer and broker dealer businesses including derivatives, FX, repo ... traded products. SMBC Nikko Securities America, Inc. is an SEC-registered securities broker - dealer and member of the Financial Industry Regulatory Authority… more
- Foresters Financial Services (Westbury, NY)
- …aspirations. Advisor support resources offered through Cetera include award-winning wealth management and advisory platforms, comprehensive broker - dealer and ... independent and institutions-based advisors the benefits of a large, established broker - dealer and registered investment adviser, while serving advisors and… 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 ... of the bank to evaluate the effectiveness of risk management and governance processes. Along with its counterparts in...of MHBK's Internal Audit Division (IAD). SUMMARY: The Risk Management Audit Team is looking for a VP level… more