- BMO Financial Group (New York, NY)
- …growing its Fixed Income Compliance team in New York with a focus on FINRA and SEC broker-dealer requirements and corresponding oversight. We are looking for someone ... Products Business within FICC. Ideal candidate will assist in the implementation , maintenance and administration of the Fixed Income compliance program. Coordinate… more
- SMBC (New York, NY)
- …excellent communication with all key stakeholders throughout the underwriting process. Implementation of the credit policy and flow of incoming requests. ... institutional guidelines and ensure data integrity in the credit systems. + Assist Manager in managing data base for model monitoring purpose specifically for G… more
- MUFG (New York, NY)
- …JCB business. The Finance and Planning Analyst reports to the Planning Team Manager and aggregates and reports financials that contribute to management decisions in ... creating JCB business performance reports and providing marketing data. + Assist implementation of financial strategies. + Prepare reports for other divisions /… more
- BMO Financial Group (New York, NY)
- …Services, LLC (CES). The broker-dealer CCO would manage the implementation , maintenance and administration of the broker-dealer compliance programs. Broker-dealer ... strongly preferred + Experience with a regulatory agency strongly preferred, including FINRA , SEC, NYSE + Knowledge of FICC, equities, prime brokerage, and… more
- TD Bank (New York, NY)
- …+ Analyze new regulations and conduct business-based analysis and execute requite implementation . + Develop and deliver proactive strategies and tactics that support ... laws, rules and regulations with the ability to assess firm impact. Specifically, FINRA , SEC, Exchange Level SROs including NYSE, NASDAQ & CBOE. + Excellent oral… more