- Amazon (New York, NY)
- …tools to support the entire vehicle discovery journey. We are seeking a Senior Dealer Performance & Compliance Manager to sit within our Seller ( ... dealer certification program and dashboard to review key performance inputs such as account health, policy compliance...strategy, end to end delivery, and communicating results to senior leadership - BA/BS degree or equivalent experience -… more
- US Bank (New York, NY)
- …Markets is a senior level management position that supports the Regulatory Compliance Audit Director/ Senior Audit Director of the Risk Management and ... Compliance audit team. This role supports the Audit Director/ Senior Audit Director, in providing the Audit Committee and senior management with independent… 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
- 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
- Deloitte (New York, NY)
- …the AML and Economic Trade Sanctions domain. As a Data Analytics, Anti-Money Laundering Senior Consultant, you will have the opportunity to be on the forefront of ... and subject matter experts from throughout Deloitte. Responsibilities typical of an analytics Senior Consultant on one of these projects may include: + Work with a… 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
- TD Bank (New York, NY)
- …New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $84,000 - $116,000 USD TD is committed to providing fair ... provide you more specific details for this role **Job Description:** **Job Overview:** This Compliance Officer is a key member of the TDS US Compliance Branch… 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
- BMO Financial Group (New York, NY)
- The US Capital Markets Compliance Team is seeking a Compliance Director with primary accountability for the Firm's Cash Equities Electronic Trading businesses, ... across two US broker-dealers. The role will include accountability for compliance advisory services, design and execution of surveillance activities, and… more
- TD Bank (New York, NY)
- …Years of related experience **Preferred Qualifications:** + Approximately 7 years experience in Compliance with a US broker dealer or regulator + Strong ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** - TD is committed to providing...judgment and ability to closely partner with and advise senior and line managers and other stakeholders on regulatory… 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
- JPMorgan Chase (New York, NY)
- …product across a variety of digital client channels - ie, Email, Web (single dealer platform), Mobile, API. The Research Digital Markets Product team seeks out new ... clients across digital channels - ie, email, web (single dealer portal - JPMM), mobile, API + Leveraging usage,...provide business insights and tooling to internal stakeholders and senior management and identify themes which can generate new… 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
- 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
- Deloitte (New York, NY)
- …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
- Bank of America (New York, NY)
- …(EWI); up-front engagement of Liquidity Risk & LOB team and approval via senior executives and broker- dealer Board of Directors, as appropriate. + Monitor ... and Financing businesses and any concerns are appropriately escalated to senior management. + Perform independent analysis to generate an independent viewpoint… more
- Citigroup (New York, NY)
- …others responsible for providing support on oversight and governance of the US broker- dealer chain legal entities. This role reports into the Chief Legal Entity ... on the development and implementation of non-financial risk monitoring program ( compliance risk, operational risk, and reputation risks), in conjunction with… more
- MUFG (New York, NY)
- …margin collateral levels. - Implement risk mitigation strategies and escalate issues to senior management when necessary. - Ensure compliance with internal risk ... collateral positions, and related transactions. - Prepare regular reports for senior management and regulatory bodies. - Document processes and procedures for… more
- Capital One (New York, NY)
- …strategies for these customers. + Build and maintain strong partnerships with senior management and LOB heads to leverage cross-sell opportunities. + Regularly ... + Partner with key stakeholders to ensure the business operates in compliance with second line governance, internal audit requirements and regulatory exams. +… more