• Manager , Broker - Dealer…

    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
    Coinbase (10/30/25)
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  • Broker Dealer Regulatory Governance…

    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 (10/09/25)
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  • Broker - Dealer Operations…

    Guardian Life (New York, NY)
    This is an exceptional chance to join Guardian Life as a Broker - Dealer Operations Specialist and be a key player on our Park Avenue Securities team! You will ... internal partners on various functions including advisor as portfolio manager , multi-account/strategy proposals, and trading methodologies + Proactively and… more
    Guardian Life (11/11/25)
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  • Data Quality & Issues Management Lead, Assistant…

    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
    MUFG (09/23/25)
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  • Branch Support Manager

    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 Branch Support Manager in Wealth and Investment Management as part of...Support team, and Client Associates in various aspects of operations , compliance, and technology + Collaborate with the Brokerage… more
    Wells Fargo (11/11/25)
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  • JP Morgan Wealth Management - Executive Director,…

    JPMorgan Chase (New York, NY)
    …and services are offered through JP Morgan Securities LLC (JPMS), a registered broker - dealer and investment advisor, member of FINRA and SIPC. Annuities are ... The Business Development Manager - Team Lead leads a team of...results. + Partner with senior leaders, product, sales, and operations teams to coordinate implementation efforts and resolve escalated… more
    JPMorgan Chase (11/08/25)
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  • Trade Operations Senior Support Specialist

    TD Bank (Melville, 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 ... this role. **Line of Business:** TD Wealth **Job Description:** The Trade Operations Senior Support Specialist is responsible for the strategic and operational… more
    TD Bank (11/05/25)
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  • VP, US Finance - Wholesale Corporate

    TD Bank (New York, NY)
    …preparation and consolidation of the monthly close, review entries and reconciliations for broker - dealer and non- broker - dealer entities and ensure ... Maintain sub-ledger to general ledger mapping logic; liaise with Product Control and Operations for testing and application. + Manage chart of accounts and mapping.… more
    TD Bank (11/15/25)
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  • Associate - Fixed Income Compliance Advisory

    BMO Financial Group (New York, NY)
    …Compliance ("FICC") team in New York with a focus on FINRA and SEC broker - dealer requirements and corresponding oversight. We are looking for someone to work ... units on implementation of solutions regarding regulatory risk based on business operations and stakeholder needs. + Consult with the various business lines/units on… more
    BMO Financial Group (10/29/25)
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  • Compliance Risk Assessment Lead

    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 ... 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 businesses + Excellent… more
    TD Bank (11/06/25)
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