- SMBC (New York, NY)
- …Job Knowledge and Core Competencies/Skills: + 4-7 years of regulatory and/or advisory compliance experience at a broker dealer . + A solid foundation in ... and is responsible for overseeing the management of the broker dealer 's compliance risk and...Nikko Securities Inc. **Role Objectives** + Assists in providing regulatory and compliance advice, identifying training needs,… more
- BMO Financial Group (New York, NY)
- …- dealer CCO would manage the implementation, maintenance and administration of the broker - dealer compliance programs. Broker - dealer businesses ... is hiring for a CCO of it's two US broker - dealer entities in New York, BMO Capital...and/or effectively challenges monitoring and testing activities to ensure regulatory compliance controls are operating and aligned… more
- Robert Half Finance & Accounting (New York, NY)
- …Financial Services is recruiting for a Compliance role for an International Broker Dealer firm located in midtown Manhattan, New York. Our client requires ... 4+ years of Compliance experience at a Broker ... policies and procedures; + Assisting with various audits, regulatory inquires and filings; + Performing daily trade reviews… more
- PNC (New York, NY)
- … Compliance Audit team supporting Corporate & Institutional Banking, Treasury Management, Swap Dealer & Broker Dealer . This position is primarily based in ... efficiently to get things done **Job Description** + Manages financial, compliance , and/or operational audit reviews, including the evaluation of design and… more
- Marex (New York, NY)
- …data in order to improve efficiencies and Compliance reporting. + Ensuring compliance with the company's regulatory requirements under the SEC, FINRA, NFA, ... out on all new customers in accordance with local regulatory requirements and Group standards and procedures + Communicate...responsibility + To report any breaches of policy to Compliance and/ or your supervisor as required + To… more
- MUFG (New York, NY)
- …counterparts to ensure that Broker Dealer are aligned with peer broker dealer practices and regulatory expectations. + Coordinate ALCO meeting ... provide more details. **Main Responsibilities:** The US and Canada Broker Dealer Treasury team is part of...risk implications and funding requirements. + Keep abreast of regulatory developments and interpret the impact on Liquidity and… more
- Marex (New York, NY)
- …in line with below responsibilities: + Provide Compliance Advisory services to US Broker Dealer business lines. + Complete or assist in completing US ... Broker Dealer related regulatory inquiries....Broker Dealer related regulatory inquiries. + Complete or...+ Provide Compliance Advisory services for US Broker Regulatory Reporting process. + Ensuring … more
- TD Bank (New York, NY)
- …a key member of the TDS US Compliance Initiatives Team and US Wholesale Compliance Group. The Compliance Regulatory Initiatives Team is a newly created ... remediation initiatives and supporting the strategic establishment of centralized functions. ** Compliance Regulatory Initiatives - Policies & Procedures:** +… more
- TD Bank (New York, NY)
- …This VP Compliance role will be a key member of the TDS US Compliance Regulatory Initiatives Team and US Wholesale Compliance Group. The Compliance ... focused on remediation and program development and improvement within TDS. ** Compliance Regulatory Initiatives - Training** + Responsible for designing and… more
- TD Bank (New York, NY)
- …BA/BS, or a similar degree required. + 2 years of experience with a registered US broker dealer or regulator. + Problem solving skills and the ability to work ... and ability to work independently. **General Job Posting:** The Compliance Officer supports consumer regulatory compliance...Job Posting:** The Compliance Officer supports consumer regulatory compliance functions for the Company and… more