• Broker - Dealer Operations…

    Guardian Life (New York, NY)
    The Operations Specialist will serve as the expert on all aspects of our managed account model management, trading platform, annuity operations as well as ... Proposals, Multiple Account Proposals as well as our Digital strategy. The Operations Specialist will intimately understand how our Portfolio Administration… more
    Guardian Life (07/08/25)
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  • Managing Director, US Broker Dealer…

    BMO Financial Group (New York, NY)
    …BMO Capital Markets Compliance team is hiring for a CCO of it's two US broker - dealer entities in New York, BMO Capital Markets Corp (BMOCMC) and Clearpool ... Execution Services, LLC (CES). The broker - dealer CCO would manage the implementation, maintenance...banking services and regulatory requirements. + Serves as a specialist resource within BMO Capital Markets with advanced knowledge… more
    BMO Financial Group (08/30/25)
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  • Senior Settlement System Support Specialist…

    MUFG (New York, NY)
    …Administration or a related field. + 8+ years of progressive experience in broker ‑ dealer back‑office or equivalent financial operations . + Deep knowledge ... are seeking a highly experienced senior settlement system support specialist to serve as the technical bridge between our... teams and the underlying technology that powers our broker dealer settlement engine. The role demands… more
    MUFG (07/30/25)
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  • Capital Markets Compliance Examination…

    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
    CIBC (08/21/25)
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  • Sr. Audit Manager- Wealth Management

    City National Bank (Jersey City, NJ)
    …Retirement and Custody Services, Specialty Wealth Assets, Investment Advisory, Broker / Dealer , Investment Banking activities for CNB's Capital Markets, ... Registered and Unregistered Fund Vehicles, Support Functions ( Operations , Compliance, Risk)Thrives in a dynamic team-based environment, effectively manages… more
    City National Bank (08/21/25)
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