- Tradeweb (New York, NY)
- …services firm in the role of a CCO or similar senior role supporting a broker dealer . + Strong understanding of regulatory and self-regulatory agencies rules and ... implementation and oversight of the compliance program established to support the broker - dealer and will monitor and act upon regulatory developments relating… more
- Charles Schwab (Lone Tree, CO)
- …of governance processes, risk management, and internal controls. The Broker - Dealer /Asset Management enterprise team is seeking a Senior Auditor (Senior ... 5+ years of financial services-related audit experience with growing responsibility. Broker Dealer /Asset Management experience specific to internal audit and/or… more
- PNC (NY)
- …will support coverage of Capital Markets on the Bank and Broker Dealer side. Successful candidates will provide critical AML oversight over high- risk ... + Reviews AML and Sanctions compliance reports and related customer risk profiles. Identifies issues, escalates through proper governance channels as needed, and… more
- ManpowerGroup (New York, NY)
- …conducting Enhanced Due Diligence within a multi-faceted financial services institution (ie Broker Dealer , Bank/Private Bank, Investment Banking Firm or similar ... AML EDD Analyst Pay $35-45 hour Location NY,...potential Sanctions matches). They will evaluate information received, determine risk factors, and provide an assessment based on research… more
- TEKsystems (Atlanta, GA)
- …will be responsible for providing high quality, professional day to day execution of AML internal audits in line with KPMG risk management practices. Resources ... Qualifications: -Audit or CAMS certification preferred -Prior wealth management or broker - dealer experience preferred About TEKsystems: We're partners in… more
- Morgan Stanley (Baltimore, MD)
- … * A foundational understanding of the financial markets and banking, including broker - dealer product-based knowledge and the ability to learn concepts quickly * ... governance, oversight and execution of the Firm's Anti-Money Laundering ( AML ), Sanctions, Anti-Corruption and Government and Political Activities Compliance… more
- SMBC (Jersey City, NJ)
- …scope of this function will encompass SMBC Group's Americas Division, inclusive of US broker dealer and registered swap dealer ; SMBC Group's wholesale and ... Group is seeking a Vice President for the Compliance Risk Assessment team ("CRA team") within the Compliance Department...focus of this role will be on the US broker dealer and US swap dealer… more
- Scotiabank (New York, NY)
- …sales, investment banking, institutional broker dealer or FCM/swap dealer businesses. + Experience leading risk assessments processes. + Familiarity with ... controls to meet obligations with respect to operational, compliance, AML /ATF/sanctions and conduct risk . + Champion a...US bank and broker dealer laws, rules, and regulations applicable… more
- Deloitte (Columbus, OH)
- …develop data-driven solutions using traditional and emerging technologies to solve complex regulatory risk and AML challenges. + Use an intelligence led approach ... Position Summary Anti-Money Laundering ( AML ) Analytics is one of the fast-growing practices...Microsoft PowerPoint. + Experience with wire transfers, trade finance, broker / dealer trades. Data governance, data lineage, data… more
- Ankura (NY)
- …companies, third-party payment processers, consumer collections agencies and securities/brokerage [ broker dealer ] + Working knowledge/experience with virtual ... broker -dealers. + Provide advice on technology implementation and enhancement including AML Transaction Monitoring (TM), Customer Risk Rating (CRR), Sanctions… more
- SMBC (Jersey City, NJ)
- …Description** The SMBC Compliance Department monitors the corporate banking, investment banking and broker dealer activities of SMBC Group and reports on the ... administers the SMBC Employee Investment Policy, arranges for the registration of broker - dealer personnel, and conducts compliance training. In addition, the… more
- Citigroup (Irving, TX)
- …or other risk management experience helpful + Knowledge of Bank and broker - dealer business, regulatory requirements and related policy. + Ability to work ... The Business Risk Officer - Central Review Unit Supervisory Principal...advise Senior Management including, but not limited to, Compliance, AML , Sales Management. + Assist on ad-hoc projects as… more
- Scotiabank (New York, NY)
- …business controls to meet obligations with respect to operational, compliance, AML /ATF/sanctions and conduct risk . + Champion a high-performance environment ... years of compliance experience, including experience providing advisory support to a broker - dealer equities sales and trading business. + Knowledge of relevant… more