- Coinbase (Trenton, NJ)
- …in you (ie. job requirements):* * 7+ years experience working in a retail broker - dealer compliance team. * Comfortable working in a fast-paced environment ... 15c3-5 Market Access, Best Execution and CAT reporting. * Experience setting up broker - dealer compliance programs, or at least parts of programs. *… more
- Capital One (New York, NY)
- Trade Surveillance Manager ( Broker - Dealer & Swap Dealer ) **About the Role** We are seeking a highly skilled Trade Surveillance Manager to lead and ... trade surveillance, market regulation, or At least 5 years Compliance experience within a Broker - Dealer ...worked. New York, NY: $159,400 - $181,900 for Risk Manager Candidates hired to work in other locations will… more
- SMBC (New York, NY)
- …issues until resolved. + Must be well organized with project management skills. + Regulatory compliance experience at a broker dealer and or swap dealer ... time as business is conducted and transactions are executed. **Role Objectives** The Broker Dealer Regulatory Governance Advisory Team within the CPAD Advisory… more
- SMBC (New York, NY)
- …issue management across Combined US Operations (CUSO), the SMBC Capital Markets Swap Dealer , and Nikko Securities America's Broker - Dealer entity. This role ... and internal controls). - Strong understanding of regulatory requirements applicable to Swap- Dealer , Broker - Dealer , and Bank entities. Communication and… more
- TD Bank (New York, NY)
- …but not required + 5 or more years of experience with a registered US broker dealer , swap dealer , Global Systematically Important Bank (GSIB), or associated ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $110,000 - $135,000 USD TD is...or more years of experience with a registered US broker dealer or regulator. + JD desirable… more
- Guardian Life (Trenton, NJ)
- …familiarity of state insurance laws (inclusive of NAIC). + 3-5 years of broker - dealer and registered investment advisor compliance experience, with ... Department. We drive a high-performance culture across our Legal, Compliance , and Government Affairs functions, aligned to "what" we...experience at an insurance-affiliated broker / dealer as a plus. + Prior examination, auditing or… more
- TD Bank (New York, NY)
- …JD desirable but not required. + 7-10 years of experience with a registered US broker dealer , swap dealer , Global Systematically Important Bank (GSIB), or ... New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $180,000 - $225,000 USD TD is committed to providing fair… more
- TD Bank (New York, NY)
- …JD desirable but not required. + 7 years of experience with a registered US broker dealer , swap dealer , Global Systematically Important Bank (GSIB), or ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $150,000 - $180,000 USD TD is...have regular career, development, and performance conversations with your manager , as well as access to an online learning… more
- TD Bank (New York, NY)
- …JD desirable but not required. + 5-7 years of experience with a registered US broker dealer , swap dealer , Global Systematically Important Bank (GSIB), or ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $140,000 - $180,000 USD TD is...have regular career, development, and performance conversations with your manager , as well as access to an online learning… more
- Wells Fargo (New York, NY)
- …statutory disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing ... **About this role:** Wells Fargo is seeking an experienced Relationship Manager to help lead Multi-National Corporations (MNC) Subsidiary Coverage within Corporate… more
- TD Bank (New York, NY)
- …to travel 50% of time **OCC Language:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA and Securities ... role. **Line of Business:** TD Wealth **Job Description:** The Market Supervision Manager partners closely with the Wealth Market Leader(s) and will be expected,… more
- Deloitte (New York, NY)
- …any of the following Financial Services/capital markets industries: investment banking, broker - dealer , prime brokerage, wealth management, or related technology ... Manager - Capital Markets Operations and Technology Our...leverage emerging technology, impacting trading strategy, operational efficiency, regulatory compliance , performance, and market reputation. Join us to shape… more
- Deloitte (New York, NY)
- …any of the following Financial Services/capital markets industries: investment banking, broker - dealer , prime brokerage, wealth management, or related technology ... opportunities to build credibility with and add value to our clients. As a Manager , you will have opportunities to: + Lead project teams and junior practitioners in… more
- TD Bank (New York, NY)
- …BA/BS, or a similar degree required. + 2 years of experience with a registered US broker dealer or regulator. + Problem solving skills and the ability to work ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $75,000 - $95,000 USD TD is...have regular career, development, and performance conversations with your manager , as well as access to an online learning… more
- Neuberger Berman (New York, NY)
- …for the firm **Requirements:** + 1 - 5 years of investment advisory or broker - dealer compliance experience + Bachelor's degree required + Experience with ... Neuberger is seeking an Analyst to join the Compliance Team in New York. This person will...1939, Neuberger Berman is a private, independent, employee-owned investment manager . From offices in 39 cities worldwide, the firm… more
- City National Bank (New York, NY)
- …and other regulatory affairs. * For Banking Compliance related roles, Certified Compliance Risk Manager (CRCM). * For Wealth Management Compliance roles, ... * COMPLIANCE ANALYST* *WHAT IS THE OPPORTUNITY?* The ...experience with a financial institution such as a broker / dealer and/or registered investment adviser. * For… more
- Wells Fargo (New York, NY)
- …statutory disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing ... the origination, modeling, portfolio management, and all risk management including compliance and operational risk + Review and analyze moderately complex business… more
- MUFG (New York, NY)
- …and other Control personnel to determine MSIIs / audit points. Assist the broker dealer entity in correctly Identifying the overall issue owner, deliverables ... other meetings + Work closely with business unit risk manager across the lifecycle of the Issue Management process...Assist in identifying data risks in RCSAs across the broker dealer entity (adhoc risk / controls… more
- JPMorgan Chase (New York, NY)
- …in developing low-latency client solutions tailored for our systematic trading and broker - dealer clients. This involves engaging with clients, exchanges, and ... alternative trading systems (ATSs), while collaborating closely with the firm's compliance and business control management teams to ensure adherence to control, risk… more
- TD Bank (New York, NY)
- …the monthly close, review entries and reconciliations for broker - dealer and non- broker - dealer entities and ensure compliance with US GAAP and IFRS ... principles, US GAAP, and IFRS. + Knowledge of Sarbanes-Oxley controls and compliance requirements. + Advanced proficiency in Microsoft Excel and automation tools… more