- BMO Financial Group (New York, NY)
- … dealer experience including SEC 15c3 experience, possessing a strong understanding of broker dealer operations and SEC/FINRA regulations. If you have ... help our customers reach theirs. From in-depth training and coaching, to manager support and network-building opportunities, we'll help you gain valuable experience,… more
- PNC (New York, NY)
- …the Compliance Audit team supporting Corporate & Institutional Banking, Treasury Management, Swap Dealer & Broker Dealer . This position is primarily based ... the field on a regular basis. Some responsibilities may be performed remotely, at manager 's discretion. Are you interested in an opportunity to join a dynamic and… 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 setting new industry standards. **Job Summary:** The Compliance Governance & Operations Manager leads the development and implementation (or lead support)… more
- Scotiabank (New York, NY)
- …and broker -dealers, and assist in successfully executing banking and broker - dealer -related audits, regulatory matters, and strategic initiatives. + Lead and ... Manager , US Finance, Regulatory Reporting, Risk Management -...regionally and globally to develop a stronger strategy for banking/ broker - dealer audit coverage. + Maintain effective relationships… 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 ... Manager , Compliance Testing **Requisition ID:** 223397 **Salary Range:**...testing or audit. + Experience/background in compliance applicable to broker - dealer internal inspections, institutional trading & sales,… more
- Bank of America (New York, NY)
- …a wide variety of legal issues. Knowledge of the US securities laws, broker - dealer regulations, and banking regulations impacting the business, including issues ... 5+ years (law firm, regulatory and/or in-house) of direct broker - dealer / capital markets legal experience. +...offered a role with Bank of America, your hiring manager will provide you with information on the in-office… more
- Lincoln Financial (Albany, NY)
- …to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln ... a Glance** We are excited to bring on a ** Manager ** to join the **Complex Services** team supporting our...5+ Years of experience in Client Customer Support and Operations that directly aligns with the specific responsibilities for… more
- Lincoln Financial (Albany, NY)
- …to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln ... are excited to bring on a **Retirement Call Center Manager ** to support the Retirement Plan Services organization in..._Nice-to-have experience (Preferred)_ : + Retirement plan knowledge and operations experience + FINRA Series 6 license + Project… more
- Citigroup (New York, NY)
- …and across the globe Knowledge & Experience: + 5 years' experience at a bank/ broker dealer + Working knowledge of brokerage products, structured products, and ... The Product Manager will be responsible for supporting the Americas...communicate to all levels of management + Familiarity with bank/ broker dealer trading platforms + Strong organizational… more
- TD Bank (New York, NY)
- …below as you consider this opportunity._** **Job Profile Summary:** The Senior Manager , Compliance Governance & Operations leads, develops and oversees a ... to make a tangible impact - both in day-to-day operations and in the design of a future-focused compliance...and taxonomies related to consumer and commercial banking, securities ( broker - dealer ), and wealth management + Experience working… more