- BMO Financial Group (New York, NY)
- …Compliance ("FICC") team in New York with a focus on FINRA and SEC broker - dealer requirements and corresponding oversight. We are looking for someone to work ... units on implementation of solutions regarding regulatory risk based on business operations and stakeholder needs. + Consult with the various business lines/units on… more
- TD Bank (Mount Laurel, NJ)
- …and Experience below as you consider this opportunity.** **Job Summary:** The Senior Manager , Compliance Governance & Operations leads, develops and oversees a ... to make a tangible impact - both in day-to-day operations and in the design of a future-focused compliance...and taxonomies related to consumer and commercial banking, securities ( broker - dealer ), and wealth management + Excellent written,… 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 ... Supervisor will work closely with Truist Private Financial Advisors, CSAs, Regional Operations Managers and Complex Managers. The individual will be a member of… 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
- World Insurance Associates, LLC. (Santa Barbara, CA)
- …Specialist to support the firm's Compliance Program. You will report to Manager -Compliance Operations + Develop and manage a Compliance Department activity ... in resolving issues involving new accounts set up with Operations and Accounting departments. + Monitor general department email...of Compliance and/or regulatory experience within both RIA and broker - dealer business segments., + Series 7, 24… more
- TD Bank (New York, NY)
- …BA/BS, or a similar degree required. + 2 years of experience with a registered US broker dealer or regulator. + Problem solving skills and the ability to work ... inquiries by regulators covering various businesses, functions and topics, including operations , finance, regulatory reporting, and sales and trading, and prepare… more
- TD Bank (New York, NY)
- …a similar degree + 10 or more years of experience in, with a registered US broker dealer or regulator, Branch Inspections testing a plus. + Strong knowledge of ... risk. **Key Responsibilities** + Manage the day to day operations of the branch inspections team which include but...have regular career, development, and performance conversations with your manager , as well as access to an online learning… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …products. + Advanced principles of banking, trust and finance and securities broker / dealer operations . + Wealth Planning offerings and partnerships, ... Private Wealth Advisor (CPWA) preferred. Other combination of designations and experience approved by the Wealth Planning management team and hiring manager . 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 ... reporting matters. Works closely with business leaders, Finance Partners, and operations to ensure compliance with 15c3-3 governing BMO Chicago Branch treasury… more
- TD Bank (New York, NY)
- …knowledge and experience in AML compliance, preferably including investment banking / broker - dealer experience at a large financial institution. + Excellent ... maintain the TDS US FCRM program. + Advise TDS Operations and other 1st line support functions on interpretation...have regular career, development, and performance conversations with your manager , as well as access to an online learning… more