- M&T Bank (Buffalo, NY)
- …requests in relation to departmental policies and procedures. + Build a working relationship with business unit executive and senior management, Internal Audit, ... **Overview:** The Business Risk Manager will perform first line of defense holistic...of two major Business Areas: Commercial Equipment Finance and Dealer Commercial Services teams. This position is responsible for… more
- TD Bank (New York, NY)
- …who can provide you more specific details for this role. **Job Description:** This Senior Compliance Officer is a key member of the TDS US Compliance Monitoring & ... creation. + Monitor and communicate program effectiveness to stakeholders and senior management to ensure program viability and coverage integrity. + Communicate… more
- Wells Fargo (New York, NY)
- …with Wells Fargo. **About this role:** Wells Fargo is seeking a **Markets Innovation Senior Product Manager - Executive Director** ( Senior Lead Securities ... and execution of Markets' innovation strategy and roadmap, in collaboration with senior business and functional leaders across CIB. The individual will play a… 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 provides ... - Support all market risk governance obligations under CFTC Swap Dealer rules, including Risk Management Program (23.600), Supervision (23.602), and overall… more
- TD Bank (New York, NY)
- …Inc) with independent and complex regulatory regimes.** **The Financial Advisors, Relationship Managers, and Investment Advisors who are part of the client-facing ... a member of the US Wealth Compliance Department, the Compliance Business Oversight Manager will:** + **Ensure ongoing compliance with the Investment Company Act of… more
- TD Bank (New York, NY)
- …you more specific details for this role. **Job Description:** Preferred Qualifications: This Senior Compliance Officer is a key member of the TDS US Compliance ... more years of experience with a registered US broker dealer or regulator. + JD desirable but not required...judgment and ability to closely partner with and advise senior and line managers and other stakeholders on regulatory… more
- TD Bank (New York, NY)
- …act as delegate for CFO for this and other forums + Represents Finance at Broker Dealer Board meeting and other key senior management meetings + Acts as key ... with Toronto and Business Leaders on projects and new product initiatives + Leads manager on all Broker Dealer related requests + Documents, manages and… more
- MUFG (New York, NY)
- …Control personnel to determine MSIIs / audit points. Assist the broker dealer entity in correctly Identifying the overall issue owner, deliverables and milestones, ... other meetings + Work closely with business unit risk manager across the lifecycle of the Issue Management process...in identifying data risks in RCSAs across the broker dealer entity (adhoc risk / controls reviews, group self-assessments,… more
- TD Bank (New York, NY)
- …responses + Prepare reporting and metrics on remediation efforts to be delivered to senior management committees and the Board of Directors of impacted TD entities + ... has enterprise wide impact or accountability. + Position deals with senior /executive management. + Key contact for business management, regulators and… more
- TD Bank (New York, NY)
- …report on the status of Compliance policy and procedure initiatives to senior management, relevant boards and external stakeholders + Participate in special projects ... 5-7 years of experience with a registered US broker dealer , swap dealer , Global Systematically Important Bank...- experience demonstrating sound judgment and close partnership with senior managers and other stakeholders globally, as well as… more
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