• Managing Director, US Broker Dealer…

    BMO Financial Group (New York, NY)
    …BMO Capital Markets Compliance team is hiring for a CCO of it's two US broker - dealer entities in New York, BMO Capital Markets Corp (BMOCMC) and Clearpool ... Execution Services, LLC (CES). The broker - dealer CCO would manage the implementation, maintenance...+ Experience with a regulatory agency strongly preferred, including FINRA , SEC, NYSE + Knowledge of FICC, equities, prime… more
    BMO Financial Group (08/30/25)
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  • Associate, Broker - Dealer Private…

    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
    SMBC (07/15/25)
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  • Audit Lead - Compliance C&IB/Treasury Management/…

    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
    PNC (07/02/25)
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  • Treasury - Mufg US and Canada Broker…

    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
    MUFG (09/07/25)
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  • Senior Compliance Officer - Fixed Income Advisory

    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
    Marex (08/07/25)
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  • Capital Markets Compliance Examination Specialist

    CIBC (New York, NY)
    …FINRA Series 7, CCOS or IACCP a plus) + Working knowledge of swap dealer operations and governing Dodd-Frank/CFTC requirements + **Values matter to you.** You ... the US Compliance Examination Plan established to ensure adherence with broker - dealer requirements and compliance with federal and self-regulatory organization… more
    CIBC (08/21/25)
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  • Compliance Business Oversight Manager

    TD Bank (New York, NY)
    …+ **Experience reviewing and providing guidance on advertising and marketing materials for a broker - dealer /bank.** + ** FINRA Series 7, 63 and 24 preferred.** ... to make a tangible impact - both in day-to-day operations and in the design of a future-focused compliance...plus.** + **Knowledge of current and emerging trends, including broker - dealer and RIA regulatory expectations and standards… more
    TD Bank (09/03/25)
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  • Compliance Governance & Operations Manager

    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
    TD Bank (09/03/25)
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  • Senior Settlement System Support Specialist., VP

    MUFG (New York, NY)
    …Administration or a related field. + 8+ years of progressive experience in broker ‑ dealer back‑office or equivalent financial operations . + Deep knowledge ... specialist to serve as the technical bridge between our operations teams and the underlying technology that powers our... teams and the underlying technology that powers our broker dealer settlement engine. The role demands… more
    MUFG (07/30/25)
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  • Head of Wealth Remediation (US)

    TD Bank (New York, NY)
    …work in an unstructured and fast paced environment **OCC:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements ... acumen, comfortable with IT systems that support wealth management operations + Prior engagement with regulators (eg, FINRA... operations + Prior engagement with regulators (eg, FINRA , SEC, OCC) + Exceptional problem solving and analytical… more
    TD Bank (08/27/25)
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