- Coinbase (Madison, WI)
- …in you (ie. job requirements):* * 7+ years experience working in a retail broker - dealer compliance team. * Comfortable working in a fast-paced environment ... 15c3-5 Market Access, Best Execution and CAT reporting. * Experience setting up broker - dealer compliance programs, or at least parts of programs. *… more
- Capital One (New York, NY)
- Trade Surveillance Manager ( Broker - Dealer & Swap Dealer ) **About the Role** We are seeking a highly skilled Trade Surveillance Manager to lead and ... trade surveillance, market regulation, or At least 5 years Compliance experience within a Broker - Dealer ...worked. New York, NY: $159,400 - $181,900 for Risk Manager Candidates hired to work in other locations will… more
- SMBC (New York, NY)
- …issues until resolved. + Must be well organized with project management skills. + Regulatory compliance experience at a broker dealer and or swap dealer ... time as business is conducted and transactions are executed. **Role Objectives** The Broker Dealer Regulatory Governance Advisory Team within the CPAD Advisory… more
- Scotiabank (Dallas, TX)
- …should involve compliance testing or audit. * Experience/background in compliance applicable to broker - dealer internal inspections, institutional trading ... Manager , Compliance Testing **Requisition ID:** 245239...covers US regulations applicable to all of Scotiabank's US broker - dealer (including internal inspections), banking, swap … more
- TD Bank (Charlotte, NC)
- …Banking.** **As a member of the US Wealth Compliance Department, the Compliance Business Oversight Manager will:** + **Ensure ongoing compliance with ... + **Participate in other initiatives as needed** **Job Summary:** The ** Compliance Administration Oversight & Reporting Manager ** ensures regulatory adherence… more
- Zions Bancorporation (Salt Lake City, UT)
- …practices. The Compliance Manager will lead and oversee the firm's compliance programs for its FINRA-registered broker - dealer , bank broker ... the opportunity. **We are currently seeking a** **Risk and Compliance Manager ** **within the Market, Liquidity, Wealth...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
- US Bank (Atlanta, GA)
- …in the following areas: * Wealth Management laws and regulations (eg, Broker Dealer , Trust Services, Wealth Management, Securities and Exchange Commission ... Private Banking) * Capital Market laws and regulations (eg, Broker Dealer , Trust Services, Wealth Management, SEC...Corporate and Commercial Banking business lines The Senior Audit Manager also has strong knowledge of Compliance … more
- TD Bank (New York, NY)
- …required (CIA and CRCM preferred) + Experienced people manager , leading a compliance audit team + Experience auditing securities, broker - dealer and/or ... **Line of Business:** Audit **Job Description:** The Senior Audit Manager leads a team of audit professionals and provides...the banking industry that impact assigned area, specifically securities, broker - dealer , and/or wealth compliance +… more
- Robert Half Management Resources (Dallas, TX)
- …operational effectiveness. Requirements * 10-15 years of experience in internal audit, compliance , or broker - dealer operations. * Extensive knowledge of ... to lead and develop the internal audit function for a dynamic clearing broker - dealer organization. This strategic role involves building audit frameworks that… more