- SMBC (New York, NY)
- …in real time as business is conducted and transactions are executed. **Role Objectives** The Broker Dealer Regulatory Governance Advisory Team within the ... and reporting. Regulatory Engagements: The Regulatory Governance Team supports SMBC's Broker - dealer entity in managing regulatory exams and… more
- Citigroup (Getzville, NY)
- …taking minutes, and ensuring follow-up requests are addressed for forums such as CBNA ALCO Broker Dealer ALCO, and regulatory engagement. * Ensure the right ... sheet for US Bank Chain Entities, US and Consolidated Broker Dealer Entities, and Hold Co. Entities....detail and a strong focus on execution. Key Responsibilities: Governance and Regulatory Oversight: * Support the… more
- Neuberger Berman (New York, NY)
- …Operations, and other control partners to ensure the highest standards of supervision and governance for RIA and Broker Dealer platforms and advisory/sales ... high-performing teams + Deep understanding of RIA and Broker Dealer supervisory frameworks, advisory/sales practices, and relevant regulatory requirements +… more
- TD Bank (New York, NY)
- …JD desirable but not required. + 7-10 years of experience with a registered US broker dealer , swap dealer , Global Systematically Important Bank (GSIB), or ... US Compliance Initiatives Team and US Wholesale Compliance Group. The Compliance Regulatory Initiatives Team is a newly created team within US Wholesale Compliance… more
- TD Bank (New York, NY)
- …JD desirable but not required. + 5-7 years of experience with a registered US broker dealer , swap dealer , Global Systematically Important Bank (GSIB), or ... a team(s) of specialists/professionals providing advice, guidance and expertise on regulatory requirements and assisting business units to manage their regulatory… more
- TD Bank (New York, NY)
- …training requirements a plus.** + **Knowledge of current and emerging trends, including broker - dealer and RIA regulatory expectations and standards for ... + **Knowledge and experience within compliance or audit, legal and regulatory environment, enterprise governance framework, products and services, policies,… more
- MUFG (New York, NY)
- …to the team from planning to resolution + Identify Key Data Elements across the broker dealer entity and key regulatory reports and ensure data quality ... more details. **Responsibilities:** + As part of the Data Governance team work across various pillars of the data...personnel to determine MSIIs / audit points. Assist the broker dealer entity in correctly Identifying the… more
- Wells Fargo (New York, NY)
- …and Investment Banking (CIB) Compliance team and requires deep expertise in broker - dealer regulations and lending compliance. **In this role, you will:** ... etc.). + Expertise in FINRA, SEC, FRB, and OCC regulations related to broker - dealer and ABS activities. + Familiarity with traditional lending regulations (Reg… more
- SMBC (New York, NY)
- …and counterparty exposure estimation, documentation and reporting approaches). - Understand regulatory requirements applicable to Swap- Dealer , Broker - ... risk oversight processes across SMBC entities. This includes committee governance , regulatory and audit engagement, and issue...CUSO Market Risk and other risk stripes under the Swap- Dealer and Broker - Dealer legal entity… more
- Raymond James Financial, Inc. (New York, NY)
- …and an understanding of the market standard risk management practices . Broker - dealer supervisory frameworks, retail investment platforms, and UHNW product risks ... of fifteen (15) years of financial services experience required . Experience in broker - dealer or wealth management firms preferred, especially with exposure to… more