- MUFG (New York, NY)
- …to management to help identify methods, procedures and technologies that enhance project processes. + Manages projects and coordinates implementation of ... project rollout. + Oversees the implementation of projects by developing or coordinating ...background screening requirements of the Financial Industry Regulatory Authority ( FINRA ) and the National Futures Association (NFA). The major… more
- TD Bank (New York, NY)
- …a member of the US Wealth Compliance Department, the Compliance Business Oversight Manager will:** + **Ensure ongoing compliance with the Investment Company Act of ... 1940, FINRA , SEC rules, and other applicable state and federal...firm meets regulatory obligations** + **Assist in the development, implementation , and maintenance of the firm's compliance policies and… more
- SMBC (New York, NY)
- …portfolio of benefits to its employees. **Role Description** A Cash management solutions Implementation Manager 's mission is to guarantee the delivery Of Cash ... , maintenance, and support. Being a Cash Management solutions implementation Manager acts as a liaison between...proposing solutions and anticipating client needs. Complete all the project phases, from scoping Of the Cash management solutions… more
- SMBC (New York, NY)
- …and audit observations, ensuring timely closure, documentation, and sustainable control implementation . + Develop program roadmaps and execution plans in alignment ... including data retention, metadata, data lineage, data quality, and control implementation . + Oversee coordination with external vendors, consultants, or global… more
- TD Bank (New York, NY)
- …product management and development. This role leads the development, implementation , and management of strategies, plans, policies, disclosures, pricing, client ... products experience required + Series 7, 24, 66 (or equivalent) FINRA Registrations + Comprehensive knowledge of financial management, retirement solutions and… more
- SMBC (New York, NY)
- …other components, organizational design, process improvement, and technology implementation . + Manage end-to-end delivery against large-scale transformation ... responsibilities. + Conduct reviews to ensure projects are added to the project reporting system and continuously updated with relevant, accurate, and timely data… more
- TD Bank (New York, NY)
- …Description:** TD Securities is seeking a highly experienced and strategic Senior Conflict Manager to join our Compliance Control Room. This role is critical in ... TD Securities and TD Bank as needed + Oversee the design, implementation , and continuous improvement of conflict management frameworks, policies, and procedures +… more
- City National Bank (New York, NY)
- INVESTMENT ANALYTICS & TRADE MONITORING MANAGER *ABOUT US* City National Rochdale (CNR) partners with financial advisors and their high-net-worth clients to build ... Trade Oversight Program by leading, configuring, and overseeing the design, implementation and administration of the compliance rules engine within the Order… more
- TD Bank (New York, NY)
- …and individual circumstances.** **Job Summary:** The Compliance Governance & Operations Manager leads the development and implementation (or lead support) ... compliance.** + **Detail oriented and well-developed organizational, time management and project management skills.** + **Ability to manage multiple tasks and… more
- US Bank (New York, NY)
- …risk and enhance operating systems and processes. Coordinates the development and implementation of operational changes within the unit. May be responsible for ... instruments - Thorough knowledge of account management, trust operations, project management, and legal regulations - Thorough knowledge of...positions may also be subject to the requirements of FINRA , NMLS registration, Reg Z, Reg G, OFAC, the… more