- 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
- 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
- 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 + Excellent written,… 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 ... inquiries by regulators covering various businesses, functions and topics, including operations , finance, regulatory reporting, and sales and trading, and prepare… 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 ... risk. **Key Responsibilities** + Manage the day to day operations of the branch inspections team which include but...have regular career, development, and performance conversations with your manager , as well as access to an online learning… more
- BMO Financial Group (New York, NY)
- Member of the broker / dealer regulatory reporting team who will be responsible for the 15c-3 customer reserve calculation for BMO Chicago Branch, and as needed ... reporting matters. Works closely with business leaders, Finance Partners, and operations to ensure compliance with 15c3-3 governing BMO Chicago Branch treasury… 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 ... + Review strategies for clients, analyze market data, and manage the day-to-day operations of the Leveraged Debt Capital Markets team + Maintain a database of… more
- TD Bank (New York, NY)
- …knowledge and experience in AML compliance, preferably including investment banking / broker - dealer experience at a large financial institution. + Excellent ... maintain the TDS US FCRM program. + Advise TDS Operations and other 1st line support functions on interpretation...have regular career, development, and performance conversations with your manager , as well as access to an online learning… 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
- 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 ... TDS is responsible for the planning, direction, and coordination of trading operations within The Bank. This position is also responsible for overseeing the… more