- M&T Bank (Boston, MA)
- …to senior management on compliance matters. **Supervisory/Managerial Responsibilities:** Broker Dealer Compliance team. **Education and Experience ... and internal policies. Oversee the development and implementation of compliance programs, monitor regulatory changes, and provide...experience with significant experience in senior level roles in broker dealer compliance or in… more
- Tradeweb (New York, NY)
- …preventing, detecting and remediating regulatory issues. + Oversee the broker - dealer compliance program functions including implementation of written ... compliance program established to support the broker - dealer and will monitor and act upon regulatory...establish standards and implement procedures to ensure that the broker - dealer compliance program remains effective… more
- Citigroup (New York, NY)
- **Position Overview:** Citi's Global Broker - Dealer Legal Entity Treasury team is seeking a highly qualified AVP candidate to support Broker - Dealer ... and oversight requirements within the Treasury organization. **Team Description:** The Global Broker - Dealer Legal Entity Treasury team reports to the Global … more
- SMBC (New York, NY)
- …the Firm. **Qualifications and Skills** + 7-10+ years of regulatory and/or advisory compliance experience at a broker dealer . + A solid foundation in ... and is responsible for overseeing the management of the broker dealer 's compliance risk and...Nikko Securities Inc. **Role Objectives** + Assists in providing regulatory and compliance advice, identifying training needs,… more
- Robert Half Finance & Accounting (New York, NY)
- …Half Financial Services is recruiting for a Senior Accountant role for a Banking and Broker Dealer firm located in midtown Manhattan. Our client requires a CPA ... Head Office, and the control and analytical review of holding company and broker dealer results, and inter-company confirmations + Reconciliation and control of… more
- Jackson National Life Insurance Company (Lansing, MI)
- …securities laws. The Sr. Attorney is responsible for developing and implementing regulatory change items, coordinating legal and compliance efforts as requested, ... procedures to ensure that the Company is operating in compliance with regulations and that regulatory reporting...operating in compliance with regulations and that regulatory reporting requirements are met. + Research and compile… more
- MUFG (New York, NY)
- …counterparts to ensure that Broker Dealer are aligned with peer broker dealer practices and regulatory expectations. + Coordinate ALCO meeting ... provide more details. **Job Summary:** The US and Canada Broker Dealer Treasury team is part of...risk implications and funding requirements. + Keep abreast of regulatory developments and interpret the impact on Liquidity and… more
- T. Rowe Price (Owings Mills, MD)
- …direction and acts as a subject matter expert ("SME") for the Director, North America Compliance , Broker Dealer in monitoring and enhancing compliance ... is instrumental in maintaining the sufficiency of the overall compliance program in preventing violations of regulatory ...Brokerage. + Provides support to the Director, North America Compliance , Broker Dealer and Chief… more
- Citizens (Johnston, RI)
- …understanding of the Firm's current business model. Qualifications: + Minimum of 5 years of broker dealer compliance experience with at least 2 years of ... environment. + Knowledge of compliance related matters within the Retail Broker Dealer and Registered Investment Advisor and Insurance Agency. + Able to… more
- Scotiabank (New York, NY)
- …and broker -dealers, and assist in successfully executing banking and broker - dealer -related audits, regulatory matters, and strategic initiatives. + ... an inclusive work environment. **What You'll Bring** + 3+ years of banking/ broker - dealer experience in audit and/or financial and regulatory reporting + 7+… more
- SMBC (New York, NY)
- …discipline to follow up on issues until resolved. + 10+ years of regulatory compliance experience at a broker dealer . BA/BS required. Series 7, 24, 79 ... of benefits to its employees. **Role Description** The Advisory Compliance team serves as a regulatory advisory...and is responsible for overseeing the management of the broker dealer 's compliance risk, and… more
- SMBC (New York, NY)
- …Must be well organized with project management skills. + 10+ years of regulatory compliance experience at a broker dealer . BA/BS required. Series 7, 24, ... and is responsible for overseeing the management of the broker dealer 's compliance risk, and...including Primary Dealer . + Provides advice on regulatory and compliance requirements to business unit… more
- Citigroup (New York, NY)
- …Strong knowledge of derivatives products and associated legal documentation. + Knowledge of broker dealer regulatory requirements is preferred. + Experience ... that supports Citi business lines, legal entity management teams, Compliance , and Regulatory Engagement teams. The group...and security based swap dealers; + advising on US broker dealer regulations; + providing regular and… more
- Citizens (Tarrytown, NY)
- … environment. + Knowledge of compliance related matters within the Retail Broker Dealer and Registered Investment Advisor and Insurance Agency. + Able to ... any and all business activities which involve any affiliated broker dealer /RIA or trust business. The individual...policies, procedures, and controls to mitigate risks and ensure regulatory compliance . + lead compliance … more
- Citigroup (Getzville, NY)
- …**Key Responsibilities** - Assist in the preparation and submission of the US Broker Dealer (CGMI) Federal Reserve Bank Reporting that includes the following: ... **Objective** The Operations Regulatory Reporting group validates, monitors, & performs ...+ FR 2004A Weekly Report of Dealer Positions + FR 2004B Weekly Report… more
- Citigroup (New York, NY)
- The role is in the Broker Dealer Regulatory Reporting Department, which is responsible for ensuring the capital adequacy of all of Citi's US broker ... FOCUS reports for each and ensuring that the primary broker dealer , Citigroup Global Markets Inc. is...examinations and inquiries (FINRA, SEC, CME) of the US broker dealers. The role's responsibilities include: Ensuring compliance… more
- Zions Bancorporation (Salt Lake City, UT)
- …Communicate findings/issues to business line management in a professional manner. + Support the broker dealer compliance program and officer as needed. + ... compliance and risk topics pertinent to the institutional broker dealer , bank dealer and...a related field + 2-4+ experience in financial services regulatory compliance , securities industry, investment management, investment… more
- Capital One (New York, NY)
- …Manager The Compliance Advisor Senior Manager will report directly to the Commercial Broker Dealer Chief Compliance Officer. This role will support three ... Compliance Advisor Senior Manager also assists the Broker Dealer CCO in keeping abreast of...abreast of new and updated financial industry laws and regulatory requirements (eg, FINRA, SEC). The Compliance … more
- Citigroup (Washington, DC)
- …markets regulatory policy. The preferred candidate will have worked at a broker / dealer , swap dealer , capital markets regulator, law firm, consulting ... The Capital Markets Regulatory Policy Advisor will be a part of...businesses, functions, and geographies - including Risk, Finance, Legal, Compliance , Global Government Affairs and Citi's business units -… more
- Hold Brothers (New York, NY)
- …reconcile data + Preparing financials and books and records for the Broker - Dealer according to GAAP and ensuring all regulatory reporting requirements are ... external auditors) as it pertains to the Broker - Dealer + Managing all tax planning and compliance... broker - dealer + Expert knowledge of broker - dealer operations, and regulatory reporting… more