- Marex (New York, NY)
- …in financial products (preferably Equity and Fixed Income Prime Services) for the role of Strategic Operations , Broker Dealer . This role is tasked with ... manging and implementing the multiple projects ahead of the Broker Dealer Operations team. Marex...assumptions and conclusions of more experienced staff members; + Strategic collaborator with insight and agility, able to anticipate… more
- SMBC (New York, NY)
- …time as business is conducted and transactions are executed. **Role Objectives** The Broker Dealer Regulatory Governance Advisory Team within the CPAD Advisory ... and other internal support functions, including CPAD Central Functions, Strategic Planning Group (SPG), Office of the CEO (CEOAD),...project management skills. + Regulatory compliance experience at a broker dealer and or swap dealer… more
- SMBC (New York, NY)
- … dealer . + A solid foundation in US securities laws and regulations and broker dealer operations , products and services. + Ability to communicate this ... and is responsible for overseeing the management of the broker dealer 's compliance risk and is represented...on day-to-day advisory and monitoring, although role also supports strategic planning within area of coverage. Reports to a… more
- Santander US (New York, NY)
- …controls related to the Swap Dealer (eg Dodd Frank/EMIR/MiFid) and coverage for Broker Dealer controls in coordination with the controls Team. Act as back up ... and alignment with internal standards. The role requires a strategic thinker with strong leadership skills and the ability...risks. Capable of learning back up controls for the Broker Dealer where needed. Knowledge of Sentinel/Bloomberg.… more
- CIBC (New York, NY)
- …FINRA Series 7, CCOS or IACCP a plus) + Working knowledge of swap dealer operations and governing Dodd-Frank/CFTC requirements + **Values matter to you.** You ... the US Compliance Examination Plan established to ensure adherence with broker - dealer requirements and compliance with federal and self-regulatory organization… more
- GE Vernova (New York, NY)
- …markets products and services, including third-party fundraising and management. + Broker - Dealer Compliance: Coordinate and execute compliance obligations for ... regulated securities transactions arranged through a registered Broker - Dealer and Financial Industry Regulatory Authority (FINRA) member firm, including private… more
- TD Bank (Melville, NY)
- …The Trade Operations Senior Support Specialist is responsible for the strategic and operational oversight of the trading desk, ensuring adherence to regulatory ... + 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 Laws. May (or… more
- Neuberger Berman (New York, NY)
- …to ensure the highest standards of supervision and governance for RIA and Broker Dealer platforms and advisory/sales activities + Oversee the implementation of ... and leading high-performing teams + Deep understanding of RIA and Broker Dealer supervisory frameworks, advisory/sales practices, and relevant regulatory… 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
- TD Bank (New York, NY)
- …risks and taxonomies related to consumer and commercial banking, securities ( broker - dealer ), and wealth management businesses + Excellent written, verbal ... to make a tangible impact - both in day-to-day operations and in the design of a future-focused compliance...risk profile. In this role, you'll need to be strategic , tactical, collaborative and creative in your approach. You… more