- 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
- MUFG (New York, NY)
- …approach to IT risk management, facilitating effective communication and coordination. + Regulatory Compliance: Ensure IT Risk governance practices comply with ... technology with experience in Technology auditor. + Preferably worked in the Broker - Dealer world and handled multiple projects concurrently, dealt simultaneously… more
- SMBC (Jersey City, NJ)
- …expert in the Regulatory Reporting Automation for BHC, Branch, Liquidity or Broker Dealer regulatory reports. This position will provide leadership to ... to its employees. **Overview** The firm is going through a multi-year Regulatory Reporting Transformation program and this position reports into the Director of… more
- TD Bank (New York, NY)
- …with Firm policy and regulatory requirements. TD has been growing its US Broker Dealer activities over the last few years both organically and through ... Markets businesses to achieve sustainable strategies, supervision, operating practices and governance aligned with regulatory requirements and Bank policies and… more
- Citizens (Tarrytown, NY)
- …in developing Private Wealth risk and compliance programs for dual-registered Broker - Dealer /Registered Investment Advisor, and RIA serving ultra-high net worth ... with regulatory standards. + Advise, implement, and/or influence internal governance processes. Manage Governance throughout the firm to ensure adherence… more
- SMBC (Jersey City, NJ)
- …and related internal control framework + Knowledge of securities broker dealer business, financial products and regulatory reporting (SEA 15c3-1) + ... to its employees. **Overview** SMBC Nikko Securities America, Inc, a registered broker dealer , provides investment securities and other financial services to… more
- Wells Fargo (New York, NY)
- …knowledge of the Applicable Rules and associated compliance programs; experience in Bank Dealer and Broker - Dealer , including MSRB, SEC and FINRA regulations. ... + Understanding of the ever-evolving governance and regulatory environments as well as industry and compliance risk-related best practices. + Strong analytical,… more
- Wells Fargo (New York, NY)
- …approval of processes completed by other team members + Partner with vendors, Broker Dealer Operations, Middle Offices, and other stakeholders to ensure accurate ... include: Operational support of Markets business (including Prime Brokerage, FCM, FX, Swap Dealer , and Broker Dealers in US and EMEA) across documentation,… more
- Scotiabank (New York, NY)
- …Compliance, Risk Management, and IT to develop a stronger strategy for banking/ broker - dealer audit coverage. + Maintain effective relationships with stakeholders ... inclusive work environment. **What You'll Bring** + 5+ years of progressive banking/ broker - dealer experience in audit, risk, compliance, and/or capital markets… more
- Citigroup (New York, NY)
- …management and payments, trade finance, securities services, as well as Citi's broker - dealer and swap- dealer businesses. Investigations Legal provides legal ... groups covering strategy, risk and compliance management, legal entity governance , regulatory interactions, investigations management, franchise reputation and… more
- Bloomberg (New York, NY)
- …to supporting our global electronic trading businesses including the US broker dealer . The role will provide critical Regulatory and Financial guidance to ... issues -Present Regulatory analysis and technical review to Boards and Governance bodies for those entities and firm leadership to qualify business impacts and… more
- OTC Markets Group Inc (New York, NY)
- …SEC regulated ATS, operated by OTC Link LLC, a FINRA and SEC registered broker - dealer , member SIPC. Applicants have rights under the federal law: Equal ... and oversee security penetration testing. * Establish and operate a formal governance mechanism to monitor and enforce effective controls for IT processes and… more
- Ankura (New York, NY)
- …companies, third-party payment processers, consumer collections agencies and securities/brokerage [ broker dealer ] + Working knowledge/experience with virtual ... implementation; Requirements: + At least 10 years of related experience in regulatory environment: Governance , Risk and Compliance. + Bachelor's Degree required,… more
- City National Bank (New York, NY)
- …Management Compliance roles, experience with a financial institution such as a broker / dealer and/or registered investment adviser. + For Wealth Management ... commercial banking focused front line business units on matters of regulatory compliance within the second line independent risk management function. This… more
- Scotiabank (New York, NY)
- …years of compliance experience, including experience providing advisory support to a broker - dealer equities sales and trading business. + Knowledge of relevant ... management and US Compliance personnel on relevant compliance issues, the regulatory environment, and Compliance Department initiatives by actively participating in… more
- Bank of America (Jersey City, NJ)
- …engagement of Liquidity Risk & LOB team and approval via senior executives and broker - dealer Board of Directors, as appropriate. Monitor and notify or escalate ... risk management processes for the LOB. Establish and oversee the risk management governance structure for the LOB. May direct risk staff in establishing risk… more
- Deloitte (Jersey City, NJ)
- …workshops in Microsoft PowerPoint. + Experience with wire transfers, trade finance, broker / dealer trades. Data governance , data lineage, data testing. ... (AML) Analytics is one of the fast-growing practices in Deloitte. Within our Regulatory and Legal Services, our specialized teams center around advanced solutions to… more
- Wells Fargo (New York, NY)
- …a fast-paced deadline driven environment + Comprehensive knowledge and understanding of broker - dealer channel **Job Expectations:** + US Only: Obtaining and/or ... training, military experience, education + US Only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7 and 66 (or 63 and 65)… more
- Mizuho Corporate Bank (New York, NY)
- …Bank and a US bank holding company, including subsidiaries such as the broker dealer and derivative trading entities. The Liquidity Risk Independent Review ... by any of the other control functions and/or the regulatory agencies. Primary Responsibilities : + As a VP...in the overall liquidity risk management framework. + Maintain governance standards pertaining to the MUSO Liquidity Independent Review… more
- Federal Reserve Bank (New York, NY)
- …and advanced understanding of financial markets and banking system, bank and broker dealer funding products, Bank Holding Company structures, key wholesale ... play an important role in helping the Federal Reserve carry out its regulatory responsibilities. The Capital Markets Risk Supervising Examiner will serve as the… more