• Deputy Compliance Leader - Financial Services

    GE Vernova (New York, NY)
    …for regulated securities transactions arranged through a registered Broker - Dealer and Financial Industry Regulatory Authority ( FINRA ) member firm, ... markets products and services, including third-party fundraising and management. + Broker - Dealer Compliance: Coordinate and execute compliance obligations… more
    GE Vernova (09/06/25)
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  • Head of Investment Product (US)

    TD Bank (New York, NY)
    …environment and manage multiple deadlines and priorities **OCC:** + This position is with a FINRA member, broker and/or dealer and is subject to the ... and product performance to determine how the product impacts the Company operations including product life cycle, quality, technical support, marketing programs and… more
    TD Bank (08/23/25)
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  • Regulatory Reporting Senior Analyst Assistant Vice…

    Citigroup (Getzville, NY)
    …analytical skills. + 4+ years of related experience in the banking / broker - dealer industry. + Material experience with operational risk disciplines; processes, ... **Objective** The Operations Regulatory Reporting group validates, monitors, & performs...Familiarity with SEC Rule15c3-1 & 15c3-3, brokerage accounting, and broker - dealer regulatory filing is a plus. +… more
    Citigroup (08/23/25)
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  • Director, Compliance - Branch Inspections Team…

    TD Bank (New York, NY)
    …a similar degree + 10 or more years of experience in, with a registered US broker dealer or regulator, Branch Inspections testing a plus. + Strong knowledge of ... risk. **Key Responsibilities** + Manage the day to day operations of the branch inspections team which include but...Inspections both remotely and in person in accordance with FINRA RULE 3110 + Lead branch inspections and execute… more
    TD Bank (09/06/25)
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  • Supervisory Principal VP

    Citigroup (New York, NY)
    …supervisory issues escalated + Review and approval of designated bank-channel and broker - dealer investments + Manage surveillance alerts within stated policy ... Provides advice and counsel related to the technology or operations of the business. Work impacts an entire area,...Series 9/10 also preferred + Knowledge of Bank and Broker - Dealer businesses, regulatory requirements and related policy… more
    Citigroup (08/16/25)
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  • Deputy Chief Compliance and Risk Officer,…

    HUB International (New York, NY)
    …Retirement & Private Wealth (RPW) SEC registered investment advisor and limited purpose FINRA Broker - Dealer : The Deputy Chief Compliance and Risk Officer, ... HUB is one of the largest global insurance and employee benefits broker , providing a boundaryless array of business insurance, employee benefits, risk services,… more
    HUB International (08/21/25)
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  • Head of Product, Commercial Bank Capital Markets

    Capital One (New York, NY)
    …Strong risk management mindset with working knowledge of regulatory requirements relevant to the bank's Broker Dealer (SEC / FINRA ) and Swap Dealer (CFTC ... solutions based on your comprehensive understanding of our client, capital markets operations , and sound risk management practices. + Work closely with our product… more
    Capital One (08/29/25)
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  • Senior Compliance Officer - Fixed Income

    BMO Financial Group (New York, NY)
    …is growing its Fixed Income Compliance team in New York with a focus on FINRA and SEC broker - dealer requirements and corresponding oversight. We are looking ... aligned to regulatory risk appetite based on an understanding of business operations and stakeholder needs. + Consult on new products, services and automated… more
    BMO Financial Group (08/09/25)
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  • Senior Associate, Relationship Management (Hybrid)

    Broadridge Financial Solutions (New York, NY)
    … operations at a buyside or sell side institution, E-Commerce ECN or Inter Dealer Broker preferred. + Detail oriented, results driven, and possesses a strong ... events. + PowerBI skills are a plus + Current FINRA Series 7 and Series 63 license or ability...delivering technology-driven solutions that drive digital transformation for banks, broker -dealers, asset and wealth managers and public companies. At… more
    Broadridge Financial Solutions (09/05/25)
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  • Investment Analytics & Trade Monitoring Manager

    City National Bank (New York, NY)
    …other regulatory affairs. * Experience with a financial institution such as a broker / dealer and/or registered investment adviser. * Experience working within a ... Develop procedures in coordination with Investment Management teams, IT/Programmers, Operations , Legal and Compliance * IT Coordination: Coordinate with IT… more
    City National Bank (09/04/25)
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