- TD Bank (New York, NY)
- …JD desirable but not required. + 5-7 years of experience with a registered US broker dealer , swap dealer , Global Systematically Important Bank (GSIB), or ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $140,000 - $180,000 USD TD is...have regular career, development, and performance conversations with your manager , as well as access to an online learning… more
- TD Bank (New York, NY)
- …and Experience below as you consider this opportunity.** **Job Summary:** The Senior Manager , Compliance Governance & Operations leads, develops and oversees a ... regulations, risks and taxonomies related to consumer and commercial banking, securities ( broker - dealer ), and wealth management + Excellent written, verbal and… more
- City National Bank (New York, NY)
- …and other regulatory affairs. * For Banking Compliance related roles, Certified Compliance Risk Manager (CRCM). * For Wealth Management Compliance roles, ... * COMPLIANCE ANALYST* *WHAT IS THE OPPORTUNITY?* The ...experience with a financial institution such as a broker / dealer and/or registered investment adviser. * For… more
- TD Bank (New York, NY)
- …BA/BS, or a similar degree required. + 2 years of experience with a registered US broker dealer or regulator. + Problem solving skills and the ability to work ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $75,000 - $95,000 USD TD is...have regular career, development, and performance conversations with your manager , as well as access to an online learning… more
- Wells Fargo (New York, NY)
- …statutory disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing ... this role:** Wells Fargo is seeking a **Markets Innovation/Equities Senior Product Manager , Executive Director** (Senior Lead Securities Product Manager ) in CIB… more
- TD Bank (New York, NY)
- …support various product lines **OCC Language:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA and ... Structured Products, ETF, Equity, and Options. The Senior Product Manager will oversee and be responsible for the risk...due to internal changes or regulatory updates and ensuring compliance with all policies and procedures. + Supports management… more
- TD Bank (New York, NY)
- …a similar degree + 10 or more years of experience in, with a registered US broker dealer or regulator, Branch Inspections testing a plus. + Strong knowledge of ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $180,000 - $225,000 USD TD is...have regular career, development, and performance conversations with your manager , as well as access to an online learning… more
- Robert Half Finance & Accounting (New York, NY)
- …Services are hiring for a Compensation Accounting Manager role for a global Broker Dealer & Capital Markets firm located in midtown Manhattan New York. Our ... with 1 day work from home. This Compensation Accounting Manager role reports into the US CFO with a...process owner for variable pay and deferred equity, ensure compliance within the group and by service providers. +… more
- MUFG (New York, NY)
- …and other Control personnel to determine MSIIs / audit points. Assist the broker dealer entity in correctly Identifying the overall issue owner, deliverables ... other meetings + Work closely with business unit risk manager across the lifecycle of the Issue Management process...Assist in identifying data risks in RCSAs across the broker dealer entity (adhoc risk / controls… more
- JPMorgan Chase (New York, NY)
- …in developing low-latency client solutions tailored for our systematic trading and broker - dealer clients. This involves engaging with clients, exchanges, and ... alternative trading systems (ATSs), while collaborating closely with the firm's compliance and business control management teams to ensure adherence to control, risk… more