- 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 ... **Responsibilities** **Program Oversight & Governance** + Lead daily surveillance operations for both Broker - Dealer and...worked. New York, NY: $159,400 - $181,900 for Risk Manager Candidates hired to work in other locations will… more
- Coinbase (Albany, NY)
- …will provide critical support to Coinbase Capital Markets ("CCM" a FINRA member broker - dealer ) in meeting its regulatory obligations to assist the Product team ... * Coordinate closely with cross functional partners in Legal, Operations , Risk, Tax, Finance and Audit to ensure a...requirements):* * 7+ years experience working in a retail broker - dealer compliance team. * Comfortable working in… more
- SMBC (New York, NY)
- …time as business is conducted and transactions are executed. **Role Objectives** The Broker Dealer Regulatory Governance Advisory Team within the CPAD Advisory ... of the CEO (CEOAD), Tokyo Home Office, Finance & Operations , Risk, HR, Internal Audit, and Technology. The Regulatory...project management skills. + Regulatory compliance experience at a broker dealer and or swap dealer… more
- SMBC (New York, NY)
- …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)
- …requirements a plus.** + **Knowledge of current and emerging trends, including broker - dealer and RIA regulatory expectations and standards for effective ... to make a tangible impact - both in day-to-day operations and in the design of a future-focused compliance...**Experience responding to client complaints within a bank or broker - dealer .** + **Experience reviewing and providing guidance… more
- Deloitte (Jericho, NY)
- Manager - Capital Markets Operations and Technology Our Enterprise Operations & Risk offering enables clients to achieve profitable growth and competitive ... any of the following Financial Services/capital markets industries: investment banking, broker - dealer , prime brokerage, wealth management, or related technology… more
- TD Bank (New York, NY)
- …you consider this opportunity._** **Job Profile Summary:** The Compliance Governance & Operations Manager leads the development and implementation (or lead ... to make a tangible impact - both in day-to-day operations and in the design of a future-focused compliance...and taxonomies related to consumer and commercial banking, securities ( broker - dealer ), and wealth management** + **Prior experience… more
- Deloitte (Jericho, NY)
- …any of the following Financial Services/capital markets industries: investment banking, broker - dealer , prime brokerage, wealth management, or related technology ... Our Enterprise Operations & Risk offering enables clients to achieve...with and add value to our clients. As a Manager , you will have opportunities to: + Lead project… more
- TD Bank (New York, NY)
- …to travel 50% of time **OCC Language:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA and Securities ... role. **Line of Business:** TD Wealth **Job Description:** The Market Supervision Manager partners closely with the Wealth Market Leader(s) and will be expected,… more
- JPMorgan Chase (New York, NY)
- … Operations to drive revenue and client success + Strategize with key broker - dealer firms on 529 plan goals and initiatives + Manage day-to-day relationships ... goals in the way that's best for them. As a 529 Relationship Manager and Investment Specialist within JP Morgan Asset Management's Global Strategic Relationship… more