- Raymond James Financial, Inc. (New York, NY)
- …assigned. + Serves as a subject matter expert on matters pertaining to regulatory reporting and broker dealer operations by maintaining proficient ... and experience to manage and oversee the operation of compliance functions for Regulatory Reporting and RJA...oversee the operation of compliance functions for Regulatory Reporting and RJA Operations departments. Manages associates and… more
- CIBC (New York, NY)
- …established to ensure adherence with broker - dealer requirements and compliance with federal and self- regulatory organization (SRO) rules and regulations. ... the design and effectiveness of business controls in meeting regulatory compliance . This position primarily supports the...ethic Preferred Qualifications: + 5-7 years of registered US broker - dealer compliance and risk management… more
- Citigroup (Getzville, NY)
- …be a plus. + Familiarity with SEC Rule15c3-1 & 15c3-3, brokerage accounting, and broker - dealer regulatory filing is a plus. + Strong interpersonal skills ... **Objective** The Operations Regulatory Reporting group validates, monitors, & performs ...4+ years of related experience in the banking / broker - dealer industry. + Material experience with operational… more
- TD Bank (New York, NY)
- …current and emerging trends, including broker - dealer and RIA regulatory expectations and standards for effective compliance management systems.** + ... and procedures** + **Partner with operations, technology, and business teams to ensure regulatory compliance ** + **Develop and prepare compliance reports on… more
- TD Bank (New York, NY)
- …with Firm policy and regulatory requirements. TD has been growing its US Broker Dealer activities over the last few years both organically and through ... manner. + Vet and coordinate First Line responses to regulatory inquiries in coordination with Compliance , Front Office, RSM teams; and other support groups. +… more
- Citigroup (Getzville, NY)
- …functions for ad-hoc analysis, such as filtering, sorting, pivoting, lookups, etc. + Broker / Dealer books and records fluency, such as stock record **Education:** ... The Regulatory Reporting role is a senior analyst position...executing daily controls to mitigate the inherent risk of non- compliance with the SEC's Client Asset Protection rule (15c3-3),… more
- Guardian Life (New York, NY)
- …familiarity of state insurance laws (inclusive of NAIC). + 3-5 years of broker - dealer and registered investment advisor compliance experience, experience at ... areas to perform high quality, value-added projects assessing the firm's overall regulatory compliance in various business functional areas. + Assist the… more
- TD Bank (New York, NY)
- …**Prior testing, audit or business operations experience in areas involving regulatory compliance .** + **Detail oriented and well-developed organizational, time ... abilities.** + **Experience responding to client complaints within a bank or broker - dealer .** + **Experience reviewing and providing guidance on advertising and… more
- BMO Financial Group (New York, NY)
- …and making recommendations that significantly impact the Bank's ability to monitor regulatory compliance programs, minimize operational risk and align with ... New York with a focus on FINRA and SEC broker - dealer requirements and corresponding oversight. We are...compliance requirements into these initiatives. + Ensure effective regulatory compliance controls that enable business objectives.… more
- MUFG (New York, NY)
- … Governance** + Maintain and update operating procedures, stay current on evolving broker ‑ dealer settlement rules and regulatory requirements, and ensure ... bridge between our operations teams and the underlying technology that powers our broker dealer settlement engine. The role demands deep expertise in trade… more