- US Bank (New York, NY)
- …counsel supporting capital markets products + Experience with securities laws and broker - dealer regulatory matters + Experience with corporate finance, ... Collaborate with other related support functions, such as Risk, Compliance and Regulatory Services + Work with...authorities, especially the SEC and FINRA + Experience with broker - dealer corporate governance + Familiarity and experience… more
- Citigroup (New York, NY)
- …66 (63/65), 24 and 31. Series 9/10 also preferred + Knowledge of Bank and Broker - Dealer businesses, regulatory requirements and related policy + Knowledge of ... supervisory issues escalated + Review and approval of designated bank-channel and broker - dealer investments + Manage surveillance alerts within stated policy… more
- TD Bank (New York, NY)
- …equivalent experience at a regulatory body (eg, leading a bank or broker / dealer exam team). + Surveillance experience at Financial Market Regulator (eg, SEC, ... New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $140,000 - $185,000 USD TD is committed to providing fair… more
- TD Bank (New York, NY)
- …for top-tier client interaction and relationship management. + Deep understanding of regulatory compliance and risk management in the finance industry + ... and AMCB Consumer Bank teams to ensure that all regulatory , compliance , audit, and self-ID findings are...**OCC:** + This position is with a FINRA member, broker and/or dealer and is subject to… more
- Siebert Williams Shank (New York, NY)
- …and a sound regulatory capital base. We are a SEC-registered securities broker - dealer and member of the Financial Industry Regulatory Authority (FINRA) ... national leader in public finance investment banking, a named dealer on more than 50 commercial paper programs, and...all activities and duties are carried out in full compliance with regulatory requirements and internal policies… more
- Mizuho Corporate Bank (New York, NY)
- …designed to add value and improve Mizuho Bank's US operations including derivative activities, broker dealer and swap dealer businesses. Based in the New ... parameters, design and methodology, implementation and model documentation. - Ensure compliance with the Mizuho Americas Model Risk Management Policy and applicable… more
- MUFG (New York, NY)
- …Risk Management with demonstrated familiarity including Sales and Trading; and familiarity with Broker - Dealer and applicable regulations, such as DFA Swap ... significance and impact on risk and/or risk management practices. + Maintain compliance with audit methodology, while also operating within industry best practices,… more
- TD Bank (New York, NY)
- …abilities for top-tier client interaction and relationship management + Deep understanding of regulatory compliance and risk management in the finance industry + ... role will also lead first-line engagement and activities with Compliance and Legal with respect to Office of Supervisory...**OCC:** + This position is with a FINRA member, broker and/or dealer and is subject to… more
- Capital One (New York, NY)
- …risk management mindset with working knowledge of regulatory requirements relevant to the bank's Broker Dealer (SEC / FINRA) and Swap Dealer (CFTC / NFA) ... equal opportunity employer (EOE, including disability/vet) committed to non-discrimination in compliance with applicable federal, state, and local laws. Capital One… more
- TD Bank (New York, NY)
- …processes in alignment with risk appetite + Ensures all products are in compliance and meet all regulatory requirements **Education & Experience:** + ... + Keeps abreast of emerging issues, trends and evolving regulatory requirements to identify new opportunities and assesses potential...**OCC:** + This position is with a FINRA member, broker and/or dealer and is subject to… more