- 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 ... 15c3-5 Market Access, Best Execution and CAT reporting. * Experience setting up broker - dealer compliance programs, or at least parts of programs. *… more
- Capital One (New York, NY)
- Trade Surveillance Manager ( Broker - Dealer & Swap Dealer ) **About the Role** We are seeking a highly skilled Trade Surveillance Manager to lead and ... trade surveillance, market regulation, or At least 5 years Compliance experience within a Broker - Dealer ...worked. New York, NY: $165,700 - $189,200 for Risk Manager Candidates hired to work in other locations will… 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
- TD Bank (New York, NY)
- …Banking.** **As a member of the US Wealth Compliance Department, the Compliance Business Oversight Manager will:** + **Ensure ongoing compliance with ... + **Participate in other initiatives as needed** **Job Summary:** The ** Compliance Administration Oversight & Reporting Manager ** ensures regulatory adherence… 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
- TD Bank (New York, NY)
- …required (CIA and CRCM preferred) + Experienced people manager , leading a compliance audit team + Experience auditing securities, broker - dealer and/or ... **Line of Business:** Audit **Job Description:** The Senior Audit Manager leads a team of audit professionals and provides...the banking industry that impact assigned area, specifically securities, broker - dealer , and/or wealth compliance +… more
- TD Bank (New York, NY)
- …team of enthusiastic colleagues dedicated to setting new industry standards. **The US Compliance - Regulatory Issue Management Manager is responsible for:** + ... Experience below as you consider this opportunity._** **Job Profile Summary:** The Compliance Governance & Operations Manager leads the development and… 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
- 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
- Guardian Life (Albany, NY)
- …familiarity of state insurance laws (inclusive of NAIC). + 3-5 years of broker - dealer and registered investment advisor compliance experience, with ... Department. We drive a high-performance culture across our Legal, Compliance , and Government Affairs functions, aligned to "what" we...experience at an insurance-affiliated broker / dealer as a plus. + Prior examination, auditing or… more
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