- Trandon Associates, Inc (New York, NY)
- Job Description Job Description Full Service Broker Dealer and Investment Banking from seeking a Deputy Chief Compliance Officer to join their team! OVERVIEW: ... Compliance Officer in overseeing the firm’s Compliance Program, supervising day-to-day compliance operations , and ensuring adherence to SEC, FINRA , MSRB, and… more
- Capital One (New York, NY)
- …trading environment. **Responsibilities** **Program Oversight & Governance** + Lead daily surveillance operations for both Broker - Dealer and Swap Dealer ... (SD) businesses. This individual will oversee day-to-day surveillance operations , maintain robust controls around the monitoring of trading...within a Broker - Dealer or Swap Dealer environment. + Relevant certifications ( FINRA Series… more
- SMBC (New York, NY)
- …time as business is conducted and transactions are executed. **Role Objectives** The Broker Dealer Regulatory Governance Advisory Team within the CPAD Advisory ... of the CEO (CEOAD), Tokyo Home Office, Finance & Operations , Risk, HR, Internal Audit, and Technology. The Regulatory...project management skills. + Regulatory compliance experience at a broker dealer and or swap dealer… more
- Coinbase (Albany, NY)
- …business. This role will provide critical support to Coinbase Capital Markets ("CCM" a FINRA member broker - dealer ) in meeting its regulatory obligations to ... * Coordinate closely with cross functional partners in Legal, Operations , Risk, Tax, Finance and Audit to ensure a...requirements):* * 7+ years experience working in a retail broker - dealer compliance team. * Comfortable working in… more
- SMBC (New York, NY)
- … dealer . + A solid foundation in US securities laws and regulations and broker dealer operations , products and services. + Ability to communicate this ... and is responsible for overseeing the management of the broker dealer 's compliance risk and is represented...and applicability to SMBC Nikko Securities Inc. and affiliate operations . + Ability to manage multiple assignments and build… more
- Guardian Life (New York, NY)
- The Broker Dealer Operations Specialist plays a central role in delivering world‑class customer and transaction servicing for alternative investment ... products. The role supports end‑to‑end operations from onboarding through transactions, reconciliation, and servicing requests. **You are** + A consummate… more
- Insight Global (New York, NY)
- …$68/hr, this role serves as a senior regulatory and risk partner to Broker ‑ Dealer Compliance leadership and the businesses they support, translating regulatory ... and engage the appropriate resources, partnering closely with Legal and Compliance Operations to support responsible business growth. We are a company committed to… more
- SMBC (New York, NY)
- …management across Combined US Operations (CUSO), the SMBC Capital Markets Swap Dealer , and Nikko Securities America's Broker - Dealer entity. This role ... and internal controls). - Strong understanding of regulatory requirements applicable to Swap- Dealer , Broker - Dealer , and Bank entities. Communication and… more
- SMBC (New York, NY)
- …Team across Combined US Operations (CUSO), the SMBC Capital Markets Swap Dealer , and Nikko Securities America's Broker - Dealer entity. This role will ... the team and senior stakeholders across Risk, Compliance, Legal, Operations , and Front Office to maintain strong governance standards...materials for Risk Committees (Tier 1 and 2), Swap Dealer and Broker Dealer oversight… more
- TD Bank (White Plains, NY)
- …+ 5+ years industry experience + Series 7 and 24 **OCC:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements of ... **Line of Business:** TD Wealth **Job Description:** The Trade Operations Senior Support Specialist is responsible for the strategic...May (or may not) be a registered position under FINRA . + Must be eligible for employment under standards… more
