- TD Bank (New York, NY)
- …the monthly close, review entries and reconciliations for broker - dealer and non- broker - dealer entities and ensure compliance with US GAAP and IFRS ... principles, US GAAP, and IFRS. + Knowledge of Sarbanes-Oxley controls and compliance requirements. + Advanced proficiency in Microsoft Excel and automation tools… more
- MUFG (New York, NY)
- …our recruitment team will provide more details. **Main Responsibilities:** The US and Canada Broker Dealer Treasury team is part of the HoldCo Treasury, Capital ... Reporting directly to the Treasurer, the AVP will have involvement in all broker dealer treasury functions including funding and liquidity risk management, asset… more
- Guardian Life (Nashville, TN)
- …familiarity of state insurance laws (inclusive of NAIC). + 3-5 years of broker - dealer and registered investment advisor compliance experience, with ... Department. We drive a high-performance culture across our Legal, Compliance , and Government Affairs functions, aligned to "what" we...experience at an insurance-affiliated broker / dealer as a plus. + Prior examination, auditing or… more
- Vanguard (Malvern, PA)
- …high-impact legal agreements-from securities lending and repurchase transactions to broker / dealer trading and platform documentation. You'll partner with ... various legal documents for securities lending, repurchase agreements, as well as broker / dealer trading and platform agreements and supporting documentation. +… more
- Wells Fargo (Charlotte, NC)
- …financial services industry experience + Experience in branch office supervision, compliance , broker - dealer governance, sales supervision **Job ... the firms' requirements for supervision are in adherence with regulatory, compliance and legal requirements. The Senior Supervisory Control Specialist understands… more
- JPMorgan Chase (Jersey City, NJ)
- …or legal firm + Experience in Broker Dealer , FCM, Swap Dealer , Control Management, Compliance , Audit, and/or operational risk. + Proven ability to ... to JPMorgan Chase. As part of Risk Management and Compliance , you are at the center of keeping JPMorgan...engagements. You will collaborate with senior leaders across the Broker Dealer , Futures Commission Merchant, Swap … more
- Atria Wealth Solutions (Dublin, CA)
- …of all required Credit Union compliance training and those mandated by the broker - dealer . + Serve as a liaison between Patelco Financial Solutions and other ... + Develop training content for branch teams and vet content with Compliance and our broker - dealer partner, and ensure monthly training sessions are conducted… more
- JPMorgan Chase (Columbus, OH)
- …meets the highest standards. Job Responsibilities + Perform on-site and remote compliance examinations of broker - dealer and investment advisory businesses ... to JPMorgan Chase. As part of Risk Management and Compliance , you are at the center of keeping JPMorgan...customers and communities. Our culture in Risk Management and Compliance is all about thinking outside the box, challenging… more
- Zions Bancorporation (Salt Lake City, UT)
- …will lead and oversee the firm's compliance programs for its FINRA-registered broker - dealer , bank broker dealer , and capital markets activities. ... the opportunity. **We are currently seeking a** **Risk and Compliance Manager** **within the Market, Liquidity, Wealth Risk &...divisions of Zions Bancorporation including but not limited to Broker Dealer , Capital Markets and Public Finance… more
- SMBC (New York, NY)
- …issue management across Combined US Operations (CUSO), the SMBC Capital Markets Swap Dealer , and Nikko Securities America's Broker - Dealer entity. This role ... and internal controls). - Strong understanding of regulatory requirements applicable to Swap- Dealer , Broker - Dealer , and Bank entities. Communication and… more