- Capital One (New York, NY)
- …Surveillance Manager to lead and enhance the firm's surveillance program across both its institutional Broker - Dealer (BD) and Swap Dealer (SD) ... (Interest Rates, FX, and Energy Commodities) as well as institutional Broker - Dealer activities (Equities and...trade surveillance, market regulation, or At least 5 years Compliance experience within a Broker - Dealer … more
- SMBC (New York, NY)
- …issues until resolved. + Must be well organized with project management skills. + Regulatory compliance experience at a broker dealer and or swap dealer ... time as business is conducted and transactions are executed. **Role Objectives** The Broker Dealer Regulatory Governance Advisory Team within the CPAD Advisory… more
- Coinbase (Albany, NY)
- …in you (ie. job requirements):* * 7+ years experience working in a retail broker - dealer compliance team. * Comfortable working in a fast-paced environment ... and alignment. Attendance is expected and fully supported. The Institutional Compliance team supports the Institutional...Best Execution and CAT reporting. * Experience setting up broker - dealer compliance programs, or at… more
- SMBC (New York, NY)
- …advisory function to the President and is responsible for overseeing the management of the broker dealer 's compliance risk and is represented by the Chief ... Critical Job Knowledge and Core Competencies/Skills: + 4-7 years of regulatory and/or advisory compliance experience at a broker dealer . + A solid foundation… more
- TD Bank (New York, NY)
- …requirements a plus.** + **Knowledge of current and emerging trends, including broker - dealer and RIA regulatory expectations and standards for effective ... training.** + **Experience responding to client complaints within a bank or broker - dealer .** + **Experience reviewing and providing guidance on advertising and… more
- SMBC (New York, NY)
- …issue management across Combined US Operations (CUSO), the SMBC Capital Markets Swap Dealer , and Nikko Securities America's Broker - Dealer entity. This role ... and internal controls). - Strong understanding of regulatory requirements applicable to Swap- Dealer , Broker - Dealer , and Bank entities. Communication and… more
- SMBC (New York, NY)
- …Assist in preparing high quality materials for Risk Committees (Tier 1 and 2), Swap Dealer and Broker Dealer oversight forums - Help review policies, ... Coordination Team across Combined US Operations (CUSO), the SMBC Capital Markets Swap Dealer , and Nikko Securities America's Broker - Dealer entity. This role… more
- TD Bank (New York, NY)
- …but not required + 5 or more years of experience with a registered US broker dealer , swap dealer , Global Systematically Important Bank (GSIB), or associated ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $100,000 - $135,000 USD TD is...or more years of experience with a registered US broker dealer or regulator. + JD desirable… more
- SMBC (New York, NY)
- …role within the Financial Institutions Group will be responsible for Banks and Broker Dealer client coverage, including all aspects of client development, new ... the origination and execution of transactions with Banks and Broker Dealer clients + Work closely across...of general elements of credit risk as well as legal/ compliance related to Bank and Broker Dealers… more
- BlackRock (New York, NY)
- …or support the development and execution of financial crime risk assessments (eg, broker - dealer or product risk assessments. + Perform periodic monitoring and ... including separately managed accounts, funds, distribution channels, transfer agents, and broker - dealer environments. + Demonstrated ability to assess complex… more
Recent Jobs
-
Business Development Manager (HDLC) nVent Data Center Solutions
- nVent (Brentford, SD)
-
Process Engineer
- Xylem (Charlotte, NC)
-
Senior Business Systems Analyst
- CACI International (Washington, DC)