- SMBC (New York, NY)
- …SMBC offers a competitive portfolio of benefits to its employees. **Role Description ** SMBC Capital Markets, Inc. (CM) is seeking a Risk Governance Associate ... within its Risk Management Department. This role will oversee coverage across SMFG...Frank Act, CFTC Rule 23.600, the Volcker Rule, Swap Dealer registration and other regulatory requirements. **Communication** 1. Excellent… more
- TD Bank (New York, NY)
- …recruiter who can provide you more specific details for this role. **Job Description :** The AVP Audit - TDS is responsible for overseeing, planning, executing and/or ... Securities. The Audit Director leads diverse teams of professionals in the overall management of the audit function. **Depth & Scope:** + Provides people … more
- TD Bank (New York, NY)
- …specific details for this role. **Line of Business:** Finance **Job Description :** **Department Overview:** The Intraday Liquidity and Collateral Monitoring Team as ... This team has oversight of TD's retail banking, commercial banking, and broker dealer funding activities. Working knowledge of key liquidity regulations such as BCBS… more
- TD Bank (New York, NY)
- …who can provide you more specific details for this role. **Job Description :** The Compliance Officer within Regulatory Relations Core Compliance assists in the ... to examinations and regulatory findings. + Assist with the management and tracking of regulatory inquiries. + Assist with...2 years of experience with a registered US broker dealer or regulator. + Problem solving skills and the… more
- TD Bank (New York, NY)
- …who can provide you more specific details for this role. **Job Description :** The Senior Compliance Office provides advice, guidance and support to business ... key stakeholders, and exercise credible challenge. + Support issue management , and support a culture of compliance across the...more years of experience with a registered US broker dealer or regulator. + JD desirable but not required… more
- SMBC (New York, NY)
- …SMBC offers a competitive portfolio of benefits to its employees. **Role Description ** SMBC Capital Markets, Inc. (CM) is a derivatives trading company since ... and Hong Kong. SMBC CM is an established derivatives dealer with a broad product portfolio, with specific emphasis...will represent the team in various forums. The risk management department is responsible for market, model, liquidity, credit,… more
- TD Bank (New York, NY)
- …recruiter who can provide you more specific details for this role. **Job Description :** Preferred Qualifications The Market Risk Technology team is looking for a ... and strategy to grow both our platforms and the dealer as a whole. The successful candidate is expected...employee has the opportunity to reach her/his potential. **Company Description ** With more than 3,500 people in 13 offices… more
- TD Bank (New York, NY)
- …recruiter who can provide you more specific details for this role. **Job Description :** TD has enhanced its Regulatory Compliance Management Framework (RCM) and ... wide impact or accountability. + Position deals with senior/executive management . + Key contact for business management ,...more years of experience with a registered US broker dealer or regulator. + JD desirable but not required.… more
- Deloitte (New York, NY)
- …on project delivery covering aspects such as quality, timelines, risk, and issue management + Track internal metrics such as utilization, Budget Vs Spend, resource ... ability to communicate effectively to all levels of client and engagement management . + Capable of balancing multiple projects with strong ability to properly… more
- Mizuho Corporate Bank (New York, NY)
- …value and improve Mizuho Bank's US operations including the derivatives and broker dealer businesses. Based in the New York Metro area, IADA staff members perform ... of the bank to evaluate the effectiveness of risk management and governance processes. Along with its counterparts in...hybrid based in our New York City Office Job Description Under the direction of the Managing Director -… more