- M&T Bank (Tarrytown, NY)
- …for developing and managing a portfolio of auto, boat, and RV dealers/ dealer group (s) with highly complex lending and financial requirements. ... Establishes/strengths relationships with these major large dollar amount dealership/ dealer groups while promoting financial products, services and opportunities… more
- Coinbase (Albany, NY)
- …fully supported. The Institutional Compliance team supports the Institutional Product Group to develop effective compliance programs to meet Coinbase's regulatory ... support to Coinbase Capital Markets ("CCM" a FINRA member broker- dealer ) in meeting its regulatory obligations to assist the...Clearing Firm to ensure deployment of a robust monitoring program . * Work with the principals to design and… more
- SMBC (New York, NY)
- SMBC Group is a top-tier global financial group . Headquartered in Tokyo and with a 400-year history, SMBC Group offers a diverse range of financial services, ... including banking, leasing, securities, credit cards, and consumer finance. The Group has more than 130 offices and 80,000 employees worldwide in nearly 40… more
- SMBC (New York, NY)
- …Governance: - Support all market risk governance obligations under CFTC Swap Dealer rules, including Risk Management Program (23.600), Supervision (23.602), and ... SMBC Group is a top-tier global financial group...Combined US Operations (CUSO), the SMBC Capital Markets Swap Dealer , and Nikko Securities America's Broker- Dealer entity.… more
- BMO Financial Group (New York, NY)
- …Compliance ("FICC") team in New York with a focus on FINRA and SEC broker- dealer requirements and corresponding oversight. We are looking for someone to work closely ... implementation, maintenance and administration of the Fixed Income compliance program . Coordinate and performs risk assessment, monitoring, testing and surveillance… more
- EMCOR Group (New York, NY)
- …on existing systems. + Perform building surveys and work with Service Manager on estimating additional work. + Perform necessary software programming, equipment ... supervisor for ways to improve the installation process. + Utilize Automated Logic's Dealer website and stay current on technical data and solutions for existing… more
- Equitable (Williamsville, NY)
- Regional Compliance Manager ( 250000LL ) **Primary Location** : UNITED STATES-NY-Williamsville **Other Locations** : UNITED STATES-MA-Boston, UNITED ... role is an individual contributor role reporting to the Lead Regional Controls Manager / Central Supervision Unit. The selected candidate would report to an… more
- MUFG (New York, NY)
- …status updates + Assist in identifying data risks in RCSAs across the broker dealer entity (adhoc risk / controls reviews, group self-assessments, and controls ... to count?** Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), one of the world's leading financial groups....to determine MSIIs / audit points. Assist the broker dealer entity in correctly Identifying the overall issue owner,… more
- TD Bank (New York, NY)
- …cross-functional and stakeholder dependencies. This function enables efficient and effective program delivery of the dealer 's major, cross functional ... impact and timely resolution of impediments, while effectively managing the program schedule (releases) and financials and ensuring continuing review and… more
- TD Bank (New York, NY)
- …highly skilled and technology proficient Vice President to join its US Wholesale Controllers group within US Finance in New York City. This role is reported directly ... and consolidation of the monthly close, review entries and reconciliations for broker- dealer and non-broker- dealer entities and ensure compliance with US GAAP… more
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