- BMO Financial Group (New York, NY)
- Our ideal candidate has a SEC/FINRA examiner background with broker dealer experience including SEC 15c3 experience, possessing a strong understanding of ... broker dealer operations and SEC/FINRA regulations. If...customers reach theirs. From in-depth training and coaching, to manager support and network-building opportunities, we'll help you gain… more
- TD Bank (New York, NY)
- …a team of enthusiastic colleagues dedicated to setting new industry standards. The Senior Manager - Compliance Programs Governance is responsible for leading the ... challenges and driving sustainable solutions that meet regulatory expectations. The Senior Manager will oversee program remediation tracking, while identifying… more
- Deloitte (New York, NY)
- Senior Manager - FSI Risk, Regulatory & Forensic Our Deloitte Regulatory, Risk & Forensic team helps client leaders translate multifaceted risk and an evolving ... a financial services organization (preferably a bank, capital markets organization or broker - dealer ), regulatory agency, or consulting firm with a clear record… more
- OTC Markets Group Inc (New York, NY)
- OTC Markets Group Inc VP, Senior Investor Relations Success Manager - Corporate Services OTC Markets Group - New York, NY - Full Time OTC Markets Group Inc., ... of premier US financial marketplaces, is seeking a VP, Senior Investor Relations Success Manager to join...by OTC Link LLC, a FINRA and SEC registered broker - dealer , member SIPC. Applicants have rights under… more
- BMO Financial Group (New York, NY)
- …Fixed Income Compliance team in New York with a focus on FINRA and SEC broker - dealer requirements and corresponding oversight. We are looking for someone to work ... knowledge of multiple FICC market activities preferred including: Primary Dealer , GSEs, Trade reporting (TRACE), communications, supervision, best execution/order… more
- TD Bank (New York, NY)
- …abilities.** + **Experience responding to client complaints within a bank or broker - dealer .** + **Experience reviewing and providing guidance on advertising and ... individual circumstances.** **Job Summary:** The Compliance Governance & Operations Manager leads the development and implementation (or lead support)...marketing materials for a broker - dealer /bank.** + **Prior testing, audit or business… more
- Deloitte (New York, NY)
- …a financial services organization (preferably a bank, capital markets organization or broker - dealer ), regulatory agency, or consulting firm with a clear record ... Risk Transformation Manager - FSI Risk, Regulatory & Forensic Our...risk function at a bank, capital markets organization or broker - dealer , including execution and oversight processes, risk… more
- TD Bank (New York, NY)
- …risks and taxonomies related to consumer and commercial banking, securities ( broker - dealer ), and wealth management businesses + Excellent written, verbal ... summary below.** **Job Profile Summary:** The Compliance Governance & Operations Manager leads the development and implementation (or lead support) of enterprise… 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) ... banking professionals who provide direct analytical and quantitative assistance to senior bankers, facilitating investment banking services for public sector clients… more
- TD Bank (New York, NY)
- …This team has oversight of TD's retail banking, commercial banking, and broker dealer funding activities. Working knowledge of key liquidity regulations ... and results of analysis to inform decision making at senior levels + Builds stakeholder alignment in leading projects...have regular career, development, and performance conversations with your manager , as well as access to an online learning… more