- 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
- Robert Half Finance & Accounting (Dallas, TX)
- …firm. * Responsible for the monthly net capital computation of the related Broker / Dealer , and the quarterly preparation of information needed for FINRA filings. ... bring a strong background in audit, financial reporting, and compliance , with a proven ability to enhance processes and...* Coordinate annual audit preparation with the related Broker / Dealer 's independent auditor. * Develop and maintain… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …or finance and a minimum of five to seven (5-7) years of experience at a broker / dealer , hedge fund, private equity firm, or similar in a related role ~or~ * ... structures, offering terms, trading and operations, along with legal and compliance programs. The Director retains latitude for unreviewed decision making 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) ... and Oakland. SWS is a perennial leader as a co- manager of investment-grade corporate debt, a national leader in...national leader in public finance investment banking, a named dealer on more than 50 commercial paper programs, and… more
- BMO Financial Group (New York, NY)
- …activities, risk taxonomies and applicable regulations surrounding them. + Knowledge of the Broker Dealer and Banking Regulations, which include but not limited ... for directing, leading, and operating the First Line of Defense's Operating Group Compliance Program (OGCP). The OGCP is the system of policies, processes and… more
- Wells Fargo (St. Louis, MO)
- …statutory disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing ... responsible for direct support of branches and their responsibilities for remote compliance supervision of Private Client Group (PCG) and Wealth Brokerage Services,… more
- TD Bank (New York, NY)
- …and experience in AML compliance , preferably including investment banking / broker - dealer experience at a large financial institution. + Excellent verbal and ... financial crime risk. This involves providing guidance on regulatory compliance , close partnership with business and legal, and operationalizing requirements… more
- Neuberger Berman (New York, NY)
- …in a related business field + 3-5 years' experience in registration, licensing, or compliance within a broker - dealer or investment adviser + Proactive, ... is looking for a Senior Registration Analyst to join our Legal and Compliance team, focusing on the day-to-day processing of registration information to ensure … more
- Wells Fargo (Charlotte, NC)
- …statutory disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing ... to low-to-medium risk tasks and deliverables + Receive direction from a manager + Exercise independent judgment while developing the knowledge to understand… 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 ... regulatory obligations and manage employee conduct and behaviors to ensure compliance . GMS maintains strong relationships with registered Supervisors to oversee a… more