- 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 ... credit complex etc.) * Effectively communicate with stakeholders and audit senior management to clearly articulate issues, root causes, and corrective measures.… more
- Robert Half Finance & Accounting (New York, NY)
- …recruiting for a US Head of Finance & Accounting role for a global Broker Dealer /Swap Dealer firm located in midtown Manhattan. Our client requires a CPA, Series ... Accounting and Finance experience within Prime Brokerage, Capital Markets or a Swap Dealer firm. The role reports directly into the Group CFO and oversees Financial… more
- KeyBank (Amherst, NY)
- …regulations across Key's Asset Management activities (ie - wealth management and trust, broker- dealer , and swap dealer ) and lines of business, products, and ... The Director must have comprehensive knowledge of wealth management, fiduciary/trust, broker- dealer , and investment management as well as a strong understanding of… more
- TD Bank (New York, NY)
- …management** + **Monitor changes in applicable laws and regulations and advise senior management on potential impacts and required actions** + **Conduct periodic ... a plus.** + **Knowledge of current and emerging trends, including broker- dealer and RIA regulatory expectations and standards for effective compliance management… more
- Guardian Life (New York, NY)
- …standards impacting Guardian's retail wealth management business, including its affiliated broker- dealer and investment adviser entities. + Assist with the Firm's ... Assist in the preparation of required regulatory filings. Collaborate with and assist senior personnel within Law, Compliance, and PAS business areas to perform high… more
- Broadridge Financial Solutions (New York, NY)
- …process, from pre-qualification to completion. The position requires high-level interaction with senior management at both the client and Broadridge. + Follow a ... support during the sales process including legal, finance, product specialists, and senior management. Qualifications: + BS in business or related field, MBA… more
- Siebert Williams Shank (New York, NY)
- …banking professionals who provide direct analytical and quantitative assistance to senior bankers, facilitating investment banking services for public sector clients ... and support senior bankers in business development efforts. SWS is a...national leader in public finance investment banking, a named dealer on more than 50 commercial paper programs, and… more
- TD Bank (New York, NY)
- …compelling business context and advice; influences and gains alignment across increasingly senior stakeholders + Works autonomously as the lead and guides others ... + **Experience responding to client complaints within a bank or broker- dealer .** + **Experience reviewing and providing guidance on advertising and marketing… more
- Citigroup (Getzville, NY)
- **Regulatory Operations Senior Data Analyst - AVP** **Team/Function Overview:** The Regulatory Operations group (Reg Ops) is a centralized unit within the Operations ... in data-driven regulatory reporting, analysis, and quality assurance for swap dealer reporting. We ensure accurate and compliant reporting by implementing robust… more
- MUFG (New York, NY)
- …member of our recruitment team will provide more details. **Job Summary:** The Senior Auditor I role within Internal Audit is responsible for leading independent, ... (eg planning, fieldwork testing, reporting, issues validation, etc.). The Senior Auditor I also establish direction for staff on...including Sales and Trading; and familiarity with Broker - Dealer and applicable regulations, such as DFA Swap … more