- BMO Financial Group (New York, NY)
- …experience including SEC 15c3 experience, possessing a strong understanding of broker dealer operations and SEC/ FINRA regulations. If you have dealt with ... Our ideal candidate has a SEC/ FINRA examiner background with broker dealer … more
- Marex (New York, NY)
- …Serve as a subject matter expert ("SME") on products, regulatory reporting, and broker - dealer operations by maintaining proficient knowledge of applicable ... Role: Marex is seeking a Senior Compliance Officer - Broker Dealer Advisory who will provide compliance...achieved. + Work with business partners (ie, Surveillance, IT, Operations etc.) to develop and enhance systems, tools, reports,… 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
- PNC (New York, NY)
- …the Compliance Audit team supporting Corporate & Institutional Banking, Treasury Management, Swap Dealer & Broker Dealer . This position is primarily based ... services designed to add value and recommend improvement to the organization's operations . Using cutting edge technology, you would participate in a collaborative… more
- MUFG (New York, NY)
- …our recruitment team will provide more details. **Main Responsibilities:** The US and Canada Broker Dealer Treasury team is part of the HoldCo Treasury, Capital ... Management and Consolidated US Operations (CUSO) Resolution Planning. Reporting directly to the Treasurer,...the Treasurer, the AVP will have involvement in all broker dealer treasury functions including funding and… more
- Marex (New York, NY)
- …+ Serve as a subject matter expert on products, regulatory reporting, and broker - dealer operations by maintaining proficient knowledge of applicable ... below responsibilities: + Provide Compliance Advisory services to US Broker Dealer business lines. + Complete or...achieved. + Work with business partners (ie, Surveillance, IT, Operations etc.) to develop and enhance systems, tools, reports,… more
- MUFG (New York, NY)
- …or a related field. + 8+ years of progressive experience within a broker - dealer back-office or equivalent financial operations role. + Extensive ... flows, securities processing, vendor management, and settlement processes within the broker - dealer environment. The ideal candidate will possess a comprehensive… more
- TD Bank (New York, NY)
- …and providing guidance on advertising and marketing materials for a broker - dealer /bank.** + **Prior testing, audit or business operations experience in areas ... to make a tangible impact - both in day-to-day operations and in the design of a future-focused compliance...competing priorities.** + **Proficiency with Microsoft Office applications.** + ** FINRA license Series 7, 63 &24** + **Life and… more
- Scotiabank (New York, NY)
- …Testing Program covers US regulations applicable to all of Scotiabank's US broker - dealer (including internal inspections), banking, swap dealer , futures ... compliance testing or audit. + Experience/background in compliance applicable to broker - dealer internal inspections, institutional trading & sales, investment… more
- TD Bank (New York, NY)
- …+ Excellent communications, platform management skills **OCC:** + This position is with a FINRA member, broker and/or dealer and is subject to the ... tracking data, and researching information, etc. to ensure effective operations of the business supported + Assesses risks and...Management leadership experience with a proven track record + FINRA Series 7, 24 (or equivalent - Series 9,… more