- Ankura (New York, NY)
- …commercial lending, mortgage lending, consumer collections agencies and securities/brokerage [ broker dealer , registered investment advisor, exempt registered ... company is licensed, Ankura can serve as the overall state regulatory manager in the US to ensure compliance with a myriad of state rules and regulations. Our … more
- New York State Civil Service (Albany, NY)
- …and troubleshooting.Prepare various quarterly monitoring reports for review by the unit Manager .Assist in the evaluation of broker - dealer and other ... 12207 Duties Description Primary PurposeUnder the general supervision of the Manager , Investments, the Treasury & Investment Specialist II performs moderately… more
- TD Bank (White Plains, NY)
- …experience + Series 7 and 24 **OCC:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA and Securities ... a key point of escalation and governance, maintaining rigorous standards of compliance and operational excellence. **Depth & Scope:** + Provides oversight of trading… more
- KeyBank (Amherst, NY)
- …information to the trade desk to provide pooling/settlement information to the Broker / Dealer within specified timeframes. * Understand and maintain up-to-date ... THE JOB (JOB BRIEF): The Loan Delivery Specialist reports to the Post Closing Manager is responsible for the review, audit and timely delivery of all first mortgage… more
- Columbia Bank (Los Angeles, CA)
- …and loyalty through excellent service. + Other responsibilities as assigned. + Demonstrates compliance with all bank and broker / dealer regulations for ... to date on regulation changes. + Follows all Bank policies and procedures, compliance regulations, and completes all required annual or job-specific training. + May… more
- Truist (Nashville, NC)
- …supervisory functions that are routinely associated with those of a retail broker / dealer and RIA supervising principal in the securities industry. The ... + 3 to 5 years of experience in brokerage with an emphasis in compliance , operations or supervisory function + Strong written and oral communication skills and… more
- BMO Financial Group (New York, NY)
- Member of the broker / dealer regulatory reporting team who will be responsible for the 15c-3 customer reserve calculation for BMO Chicago Branch, and as needed ... Works closely with business leaders, Finance Partners, and operations to ensure compliance with 15c3-3 governing BMO Chicago Branch treasury activity. + Preparation… more
- Ankura (New York, NY)
- …root cause analysis, pre-issuance and post-issuance reviews of issuer and broker - dealer audit engagements, leading and supporting investigations, and independent ... from case assessment through expert testimony, as well as compliance verification services following resolution of the matter. More...more years of progressively responsible experience having attained the Manager level in an audit firm; . PCOAB or… more
- First Horizon Bank (Memphis, TN)
- …completion within 12 months) + Minimum 5 - 10 years of experience in broker - dealer , public accounting or other professional accounting role + Strong knowledge of ... **Description** **Description** The Vice President - Senior Accounting Manager will work closely with the Accounting Department staff and other FHN Financial… more