- Scotiabank (New York, NY)
- Senior Manager, US Compliance Risk Assessment **Requisition ID:** 207309 **Salary Range:** 110,700.00 - 211,800.00 _Please note that the Salary Range shown is a ... industries! We work together to drive ambition for every future! **Purpose** The Senior Manager, US Compliance Risk Assessment contributes to the overall success… more
- Capital One (New York, NY)
- …regulations, within an enterprise-level risk management framework. The Compliance Advisor Senior Manager also assists the Broker Dealer CCO in keeping ... (22957), United States of America, New York, New York Compliance Advisor Senior Manager The Compliance... Manager will report directly to the Commercial Broker Dealer Chief Compliance Officer. This role will… more
- Scotiabank (New York, NY)
- Senior Manager, Markets Compliance Officer **Requisition ID:** 204138 **Salary Range:** 110,700.00 - 211,800.00 _Please note that the Salary Range shown is a ... compliance , AML/ATF/sanctions and conduct risk. + Champion a high- performance environment and contribute to an inclusive work environment. **What You'll… more
- Bank of America (New York, NY)
- …Officers (CCO) in administering their duties to oversee the Company's swap and SBS dealer compliance and operational risk program; * Assist with drafting the CCO ... to address regulatory requirements + Oversees independent risk management reporting to Global Compliance and Operational Risk senior leaders and FLU and CF … more
- Citizens (Tarrytown, NY)
- …insurance regulatory requirements pertaining to marketing and advertising in a retail broker/ dealer environment. + Knowledge of compliance related matters within ... Description The Compliance Team Lead will have responsibilities within the...of Citizens Wealth Management, including its registered investment advisor, broker- dealer and trust activities. The role ensures that the… more
- TD Bank (New York, NY)
- …and serves as a crucial safeguard against financial Crimes within our Wealth and Broker Dealer groups. The Senior Manager should be well-versed in AML laws and ... controls + Contributes to the development and implementation of AML/ATF/Sanctions/ABAC Compliance programs + Works with senior business unit management/partners… more
- Scotiabank (New York, NY)
- …should involve compliance testing or audit. + Experience/background in compliance applicable to broker- dealer internal inspections, institutional trading & ... Manager, Compliance Testing **Requisition ID:** 206799 **Salary Range:** 85,700.00...covers US regulations applicable to all of Scotiabank's US broker- dealer (including internal inspections), banking, investment management activities, corporate… more
- Ankura (New York, NY)
- …and growth. Our Audit Advisory Team of professionals includes several former senior officials from the PCAOB, including the Divisions of Enforcement and ... (DEI) and Registrations and Inspections (DRI). In addition, we have former senior officers from the SEC Division of Enforcement, certified public accountants,… more
- KPMG (Stamford, CT)
- **Business Title:** Director, Markets Compliance **Requisition Number:** 118215 - 20 **Function:** Advisory **Area of Interest:** **State:** CT **City:** Stamford ... (https://advisory.kpmg.us/) practice. Responsibilities: + Develop frameworks and methodologies for compliance , supervisory, operational and regulatory risk-management programs + Review… more
- Hold Brothers (New York, NY)
- …external stakeholders (regulatory/government bodies, external auditors) as it pertains to the Broker- Dealer + Managing all tax planning and compliance with all ... local, payroll, property and other applicable taxes + Supervision and/or performance of the Broker- Dealer 's responsibilities under all financial responsibility… more
- Neuberger Berman (New York, NY)
- …with professionalism, accuracy and within deadlines, including supporting the Dealer Services/Intermediary Call Center + Perform client account maintenance including ... Partner with internal groups (Portfolio & Wealth management, sales/marketing and legal/ compliance teams) to deliver timely and accurate responses to internal… more
- Ankura (New York, NY)
- …risk assessments, policies, procedures, internal controls, and systems processes; + Prepare compliance reports for Compliance Officer, Senior Management, ... Conduct independent regulatory program reviews and Testing; + Drafting BSA/AML compliance programs and developing training for FinTech's and broker-dealers. +… more
- TD Bank (New York, NY)
- …New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $180,000 - $230,000 USD TD is committed to providing fair ... more specific details for this role **Job Description:** The Director Compliance TDS oversees/leads a team(s) of specialists/professionals providing advice, guidance… more
- TD Bank (New York, NY)
- …degree, required. + 7 or more years of experience in, with a registered US broker dealer or regulator, Compliance testing a plus. + JD desirable but not required ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $160,000 - $187,000 USD TD is...judgment and ability to closely partner with and advise senior and line managers and other stakeholders on regulatory… more
- Scotiabank (New York, NY)
- …inclusive work environment. **What You'll Bring** + 5+ years of progressive banking/broker- dealer experience in audit, risk, compliance , and/or capital markets ... work as part of the team and assist the Senior Managers and/or Director, US Internal Control & Global...such as COEs, regional audit teams including Capital Markets, Compliance , Risk Management, and IT to develop a stronger… more
- TD Bank (New York, NY)
- …Firm policy and regulatory requirements. TD has been growing its US Broker Dealer activities over the last few years both organically and through acquisitions (eg, ... policies to trading and sales activities in coordination with Compliance or relevant Risk and Control teams. + Conduct...issues (eg 6-12 months) + Generally reports to a Senior Manager or above **Education & Experience:** + Undergraduate… more
- MUFG (New York, NY)
- …one day. A member of our recruitment team will provide more details. Senior Technology Auditing, Compliance , & Governance Manager will ensure the integrity, ... via risk assessments, audits, controls testing, policy and procedure and compliance initiatives and operational duties. The successful candidate will support various… more
- Deloitte (Stamford, CT)
- …leadership, and communication skills. The ability to bring together stakeholders and persuade senior clients to act is essential. A genuine passion for the financial ... seeking out new skills and perspectives and exhibiting openness to coaching from senior colleagues and reviewing the work of and contributing to the development of… more
- TD Bank (New York, NY)
- …for venue relationship management, venue rulebook management process, venue limits compliance process, support for surveillance metrics capture and completeness of ... reporting as well as ad-hoc analysis, and present issues requiring attention by senior management The Associate - TBM is responsible for helping TD Securities… more
- Raymond James Financial, Inc. (New York, NY)
- …provide strategic direction and overall management of a region for a major broker/ dealer . Works with senior management to determine strategic direction and ... to achieve strategic vision for a defined region, in conjunction with senior management. * Develops and ensures implementation of tactics to achieve strategic… more