- 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 (GSIB),...or communications surveillance a plus. + Firm understanding of financial product rules and regulatory landscape, as well as… more
- TD Bank (New York, NY)
- …on the status of Compliance policy, procedure and training initiatives to senior management, relevant boards and external stakeholders + Participate in special ... + 7-10 years of experience with a registered US broker dealer, swap dealer, Global Systematically Important Bank (GSIB),...or communications surveillance a plus. + Firm understanding of financial product rules and regulatory landscape, as well as… more
- Broadridge Financial Solutions (Newark, NJ)
- …Qualifications + 15+ years of progressive technology leadership experience in financial services + 5+ years in a senior technology role at a fintech ... roadmaps that keep our OMS platform at the cutting edge of financial technology, with comprehensive capabilities spanning position management, order state tracking,… more
- Santander US (Boston, MA)
- …**Your Journey Starts Here:** Santander is a global leader and innovator in the financial services industry. We believe that our employees are our greatest ... trade blotters. The Associate, Investment Supervision will work directly with Financial Advisors and field managers to resolve any documentation deficiencies and… more
- MUFG (New York, NY)
- …of experience in internal audit and/or equivalent of experience with the financial services industry, related markets and regulated industries, specifically in ... actions to count?** Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), one of the world's leading ...recruitment team will provide more details. **Job Summary:** The Senior Auditor I role within Internal Audit is responsible… more
- TD Bank (New York, NY)
- …management **Preferred Qualifications:** + Solid background/experience working in Capital Markets/ Financial Services industry across Equities asset class ... and regulatory requirements. TD has been growing its US Broker Dealer activities over the last few years both...issues (eg 6-12 months) + Generally reports to a Senior Manager or above **Core Accountabilities:** Scope of Supervision… more
- World Insurance Associates, LLC. (Syosset, NY)
- …World Insurance Associates is a unique insurance organization offering top products and services from major providers, combined with attentive service from local ... in personal and commercial insurance lines, surety and bonding, employee benefits, financial and retirement services , and human capital management solutions.… more
- City National Bank (Los Angeles, CA)
- …a subsidiary of Royal Bank of Canada, one of North America's leading diversified financial services companies. To learn more about City National and our dynamic ... reporting to AD which will be used to inform senior management, Board-level committees and key stakeholders to drive...* For Wealth Management Compliance roles, experience with a financial institution such as a broker /dealer and/or… more
- Broadridge Financial Solutions (Newark, NJ)
- …Computer Science, or related field required. + 4+ years of experience in Financial Services Operations and in product or operations strategy within the ... pain points to recommend and define capabilities to improve efficiency, transparency and service delivery. We are made up of high-performing teams that meet in… more
- JPMorgan Chase (Jersey City, NJ)
- …auditing experience, or relevant business experience + Bachelor's degree (or relevant financial services experience) + Experience with internal audit methodology ... + Knowledge of applicable laws and regulatory requirements related to broker /dealer and fiduciary activities + Strong interpersonal and influencing skills, with… more