- BMO Financial Group (New York, NY)
- …BMO Capital Markets Compliance team is hiring for a CCO of it's two US broker - dealer entities in New York, BMO Capital Markets Corp (BMOCMC) and Clearpool ... Execution Services, LLC (CES). The broker - dealer CCO would manage the implementation, maintenance...to monitor regulatory compliance programs. + Advises and influences senior leaders on managing regulatory risk associated related to… 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
- Guardian Life (Albany, NY)
- …familiarity of state insurance laws (inclusive of NAIC). + 3-5 years of broker - dealer and registered investment advisor compliance experience, with experience at ... part of a collaborative Compliance Legal Team? As a Senior Compliance Analyst, Park Avenue Securities, and Park Avenue...an insurance-affiliated broker / dealer as a plus. + Prior examination,… 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)
- …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
- Citigroup (New York, NY)
- …supervisory issues escalated + Review and approval of designated bank-channel and broker - dealer investments + Manage surveillance alerts within stated policy ... guidelines + Interface, consult with and escalate to Senior Management and partners including, but not limited to,...Series 9/10 also preferred + Knowledge of Bank and Broker - Dealer businesses, regulatory requirements and related policy… more
- TD Bank (New York, NY)
- …key control partners and the TDS front office. TD Securities is looking for a broker - dealer accountant to join its Product Control division in New York City. ... books and records and regulatory filings for its US broker -dealers as well as non broker dealers....deadlines while still providing a high-quality work product The Senior Finance Analyst TDS provides planning, forecasting, reporting and… 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