- TD Bank (New York, NY)
- …the monthly close, review entries and reconciliations for broker - dealer and non- broker - dealer entities and ensure compliance with US GAAP and IFRS ... principles, US GAAP, and IFRS. + Knowledge of Sarbanes-Oxley controls and compliance requirements. + Advanced proficiency in Microsoft Excel and automation tools… 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
- BMO Financial Group (New York, NY)
- …activities, risk taxonomies and applicable regulations surrounding them. + Knowledge of the Broker Dealer and Banking Regulations, which include but not limited ... for directing, leading, and operating the First Line of Defense's Operating Group Compliance Program (OGCP). The OGCP is the system of policies, processes and… more
- TD Bank (New York, NY)
- …and experience in AML compliance , preferably including investment banking / broker - dealer experience at a large financial institution. + Excellent verbal and ... financial crime risk. This involves providing guidance on regulatory compliance , close partnership with business and legal, and operationalizing requirements… more
- Neuberger Berman (New York, NY)
- …in a related business field + 3-5 years' experience in registration, licensing, or compliance within a broker - dealer or investment adviser + Proactive, ... is looking for a Senior Registration Analyst to join our Legal and Compliance team, focusing on the day-to-day processing of registration information to ensure … more
- TD Bank (New York, NY)
- …Equities. + FINRA Series 7 & 24 licenses required + Deep knowledge of US Broker Dealer regulation; more specifically FINRA and MSRB rules & regulations, industry ... regulatory obligations and manage employee conduct and behaviors to ensure compliance . GMS maintains strong relationships with registered Supervisors to oversee a… more
- Ankura (New York, NY)
- …commercial lending, mortgage lending, consumer collections agencies and securities/brokerage [ broker dealer , registered investment advisor, exempt registered ... company is licensed, Ankura can serve as the overall state regulatory manager in the US to ensure compliance with a myriad of state rules and regulations. Our … more
- New York State Civil Service (Albany, NY)
- …and troubleshooting.Prepare various quarterly monitoring reports for review by the unit Manager .Assist in the evaluation of broker - dealer and other ... 12207 Duties Description Primary PurposeUnder the general supervision of the Manager , Investments, the Treasury & Investment Specialist II performs moderately… more
- TD Bank (White Plains, NY)
- …experience + Series 7 and 24 **OCC:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA and Securities ... a key point of escalation and governance, maintaining rigorous standards of compliance and operational excellence. **Depth & Scope:** + Provides oversight of trading… more
- KeyBank (Amherst, NY)
- …information to the trade desk to provide pooling/settlement information to the Broker / Dealer within specified timeframes. * Understand and maintain up-to-date ... THE JOB (JOB BRIEF): The Loan Delivery Specialist reports to the Post Closing Manager is responsible for the review, audit and timely delivery of all first mortgage… more