- TD Bank (New York, NY)
- …**Preferred Qualifications:** + 5 or more years of experience with a registered US broker dealer or regulator. + JD desirable but not required + Knowledge ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $125,000 - $140,000 USD TD is...have regular career, development, and performance conversations with your manager , as well as access to an online learning… more
- Citigroup (New York, NY)
- …supervisory issues escalated + Review and approval of designated bank-channel and broker - dealer investments + Manage surveillance alerts within stated policy ... 24 and 31. Series 9/10 also preferred + Knowledge of Bank and Broker - Dealer businesses, regulatory requirements and related policy + Knowledge of Investment… more
- Siebert Williams Shank (New York, NY)
- …platform, and a sound regulatory capital base. We are a SEC-registered securities broker - dealer and member of the Financial Industry Regulatory Authority (FINRA) ... and Oakland. SWS is a perennial leader as a co- manager of investment-grade corporate debt, a national leader in...national leader in public finance investment banking, a named dealer on more than 50 commercial paper programs, and… more
- TD Bank (New York, NY)
- …accordance with Firm policy and regulatory requirements. TD has been growing its US Broker Dealer activities over the last few years both organically and through ... also works with management / control function partners (eg Risk, Legal, Compliance , AML and Audit) to assess risks, develop and implement proactive strategies,… more
- TD Bank (New York, NY)
- …unstructured and fast paced environment **OCC:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA and ... in Wealth by partnering with US Wealth Senior Leadership Team, Federated Partners ( Compliance , Legal), and AMCB Consumer Bank teams to ensure that all regulatory, … more
- TD Bank (New York, NY)
- …unstructured and fast paced environment **OCC:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA and ... role will also lead first-line engagement and activities with Compliance and Legal with respect to Office of Supervisory...have regular career, development, and performance conversations with your manager , as well as access to an online learning… more
- BlackRock (New York, NY)
- …and promote regulatory expertise and rigor. **Qualifications** + Bachelor's degree + 3+ years compliance background with a broker - dealer , mutual fund, or ETF ... Elevate your career by joining the world's largest asset manager ! At BlackRock, we are all connected by one...The Associate will work closely with product, marketing and compliance groups and FINRA staff to help ensure regulatory… more
- Bank of America (New York, NY)
- …engagement of Liquidity Risk & LOB team and approval via senior executives and broker - dealer Board of Directors, as appropriate. Monitor and notify or escalate ... negotiating across CFO partners, as well as EFR organization, Compliance & Op Risk, and other verticals (GBAM and...offered a role with Bank of America, your hiring manager will provide you with information on the in-office… more
- TD Bank (New York, NY)
- …manage multiple deadlines and priorities **OCC:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA and ... and structured products + Manages investment management product including strategies and manager 's available on the platform + Manages solicitation policy for all… more