- MUFG (New York, NY)
- …team will provide more details. **Main Responsibilities:** The US and Canada Broker Dealer Treasury team is part of the HoldCo Treasury, Capital Management and ... to the Treasurer, the AVP will have involvement in all broker dealer treasury functions including funding and liquidity risk management, asset liability management,… more
- Marex (New York, NY)
- …collaboration is essential in maintaining a healthy and transparent relationship between Marex and regulatory bodies. Responsibilities: Proactive in implementing ... responsibilities: + Provide Compliance Advisory services to US Broker Dealer business lines. + Complete or assist in completing...lines. + Complete or assist in completing US Broker Dealer related regulatory inquiries. + Complete or assist in… more
- CIBC (New York, NY)
- We're building a relationship -oriented bank for the modern world. We need talented, passionate professionals who are dedicated to doing what's right for our clients. ... the US Compliance Examination Plan established to ensure adherence with broker- dealer requirements and compliance with federal and self-regulatory organization (SRO)… more
- SMBC (New York, NY)
- …- Audit Manager with a minimum of 8 years of experience in the broker dealer & financial industry to work within the Internal Audit Department. The Audit Manager ... * Develop, promote and maintain a collaborative and strong working relationship with AD business heads, external auditors, and regulators. **Qualifications and… more
- SMBC (New York, NY)
- …inventory of issues across CUSO Market Risk and other risk stripes under the Swap- Dealer and Broker- Dealer legal entity CRO umbrella. - Track and manage ... and reporting approaches). - Understand regulatory requirements applicable to Swap- Dealer , Broker- Dealer , and Bank entities. **Communication and Leadership:**… more
- MUFG (New York, NY)
- …our operations teams and the underlying technology that powers our broker dealer settlement engine. The role demands deep expertise in trade flows, securities ... + Maintain and update operating procedures, stay current on evolving broker‑ dealer settlement rules and regulatory requirements, and ensure adherence throughout the… more
- SMBC (New York, NY)
- …in Charlotte, NC, London and Hong Kong. SMBC CM is an established derivatives dealer with a broad product portfolio focused on interest rates and foreign exchange ... products. SMBC Nikko Securities America, Inc. is an SEC-registered securities broker- dealer and member of the Financial Industry Regulatory Authority (FINRA) and… more
- MUFG (New York, NY)
- …responsible for supporting the firm's initiative to become a US Government Primary Dealer . The candidate will work with various internal and external stakeholders in ... and documentation submission required by the regulatory bodies for the broker- dealer 's onboarding process + Assist with system configuration, setup, and testing… more
- TD Bank (New York, NY)
- …Inc) with independent and complex regulatory regimes.** **The Financial Advisors, Relationship Managers, and Investment Advisors who are part of the client-facing ... a plus.** + **Knowledge of current and emerging trends, including broker- dealer and RIA regulatory expectations and standards for effective compliance management… more
- Tioga Downs Casino Resort (Nichols, NY)
- …+ Open and close games in assigned area, verifying count as provided by Dealer . + Control and direct games in progress by monitoring and providing assistance, ... each game stands with respect to player limits, special guests, gains/losses, and dealer performance. + Provide and monitor on-the-job training for Dealers to ensure… more