- NatWest Markets (Stamford, CT)
- Broker Dealer Advisory - VP Stamford,United States Permanent Full Time \#R-00246157 Our people work differently depending on their jobs and needs. From ... the department and the business._ **Job Description** The Compliance Advisory Officer reporting to the Compliance Advisory ...team andcross-functionally. The ideal candidate will have experience with broker - dealer and swap dealer rules… more
- TD Bank (New York, NY)
- …partners and groups. + 6 or more years of experience with a registered US broker dealer or regulator. + Knowledge of wholesale banking products and services, ... Assessment ratings. + Partner closely with the Risk Assessment and Compliance Markets Advisory teams, as necessary, to create a cohesive pipeline between the Risk… more
- TD Bank (New York, NY)
- …partners and groups. + 6 or more years of experience with a registered US broker dealer or regulator. + Knowledge of wholesale banking products and services, ... Firm's control mapping to applicable rules. + Partner closely with the Compliance Advisory team for the Risk Assessment and other efforts. + Support technology and… more
- Mizuho Corporate Bank (New York, NY)
- …to add value and improve Mizuho Bank's US operations including the derivatives and broker dealer businesses. Based in the New York Metro area, IADA staff ... innovation, project management and talent development. DescriptionUnder the direction of the Vice President , execute a robust audit program including leading the… more