- Siebert Williams Shank (New York, NY)
- …Williams Shank & Co., LLC ("SWS" or the "Firm") (a FINRA-registered broker / dealer ) is seeking to add a motivated compliance professional to assist the ... Compliance team led by the Chief Compliance Officer . The successful candidate will support...7 licenses required + At least 3 years of compliance experience ( broker - dealer preferred) +… more
- SMBC (New York, NY)
- …as a regulatory advisory function and is responsible for overseeing the management of the broker dealer 's compliance risk, and is represented by the Chief ... Compliance Officer as either a member or observer of various...+ Extensive Compliance Advisory experience at a broker dealer covering fixed income and/or fixed… more
- Santander US (New York, NY)
- VP, Regulatory Examination Management Compliance Officer New York, United States of America USA Job Family Description: The VP, Regulatory Examination Management ... Compliance Officer follows industry regulatory developments, applying...("SCIB") businesses, including swaps, securities-based swaps, futures, banking and broker dealer activities + Develop and maintain… more
- TD Bank (New York, NY)
- …you more specific details for this role. **Job Description:** **Preferred Qualifications:** This Senior Compliance Officer is a key member of the TDS US ... and covers the TDS US businesses. This Senior Compliance Officer will also support other aspects...or more years of experience with a registered US broker dealer or regulator, Branch Inspections testing… more
- Truist (New York, NY)
- … compliance will also be considered for the role. 6. Institutional Broker - Dealer compliance experience. 7. Control Room experience, research clearance ... States of America) **Please review the following job description:** Senior Compliance Control Group Officer is a subject matter expert within the Compliance … more
- Scotiabank (New York, NY)
- Senior Manager, Markets Compliance Officer **Requisition ID:** 219504 **Salary Range:** 117,400.00 - 224,700.00 _Please note that the Salary Range shown is a ... of compliance experience, including experience providing advisory support to a broker - dealer equities sales and trading business. + Knowledge of relevant SEC… more
- BMO Financial Group (New York, NY)
- … Compliance team in New York with a focus on FINRA and SEC broker - dealer requirements and corresponding oversight. We are looking for someone to work closely ... and fiduciary obligations are met. You will have a specific focus on compliance oversight over BMO's Fixed Income activities, and maintain current knowledge of… more
- HSBC (New York, NY)
- …Derivatives, and Prime Finance + Requires knowledge of key US regulations impacting the US Broker Dealer and Swap Dealer . + Strong understanding of Markets ... planet we all share. As our Equities Non-Financial Risk Officer , you will oversee the non-financial risk and conduct...- There must be a clear understanding of the broker - dealer and e-trading technical and regulatory environment… more
- Citizens (New York, NY)
- …Inc., Citizens Institutional Broker - Dealer , is seeking a highly skilled Broker - Dealer Credit Risk Officer to provide specialization and working ... knowledge of Non-Bank Financial Institutions including Insurance Companies, Broker -Dealers, Investment Managers, Hedge Funds, Mutual Fund Families, and others.… more
- Mizuho Corporate Bank (New York, NY)
- …regulatory rules and will contribute analysis and translation of various Broker - Dealer regulatory requirements in collaborations with other stakeholders (eg, ... team plays a key role (in collaboration with legal, compliance , IT, etc) in the analysis, requirements specifications, and...relevant to their remit. Summary The Operations Regulatory Reporting Officer position will play a key role in the… more
- Neuberger Berman (New York, NY)
- …withing 6 months of employment. + 5-7 years of investment advisory or broker - dealer experience, ideally with background in supervisory principal activities. + ... focus on identification, mitigation and resolution of alerts related to IPS Compliance (including but not limited to deviation from asset allocation/risk profiles,… more
- Tradeweb (New York, NY)
- …+ Bachelor's and/or Master's degree in Accounting + 4+ years of broker dealer accounting/reporting experience, preferably with Big 4 or national ... accounting firm experience + Knowledge and experience in broker dealer regulatory requirements + Experience in preparing or reviewing audited broker … more
- TD Bank (New York, NY)
- …your recruiter who can provide you more specific details for this role. **Job Description:** This Compliance Officer is a key member of the TDS US Compliance ... working with regional testing teams across the globe. This Compliance Officer will also support other aspects...or more years of experience with a registered US broker dealer , regulator, or global financial organization.… more
- Bank of America (New York, NY)
- …engagement of Liquidity Risk & LOB team and approval via senior executives and broker - dealer Board of Directors, as appropriate. Monitor and notify or escalate ... the CFO managed securities portfolio. As the Chief Risk Officer (CRO) function covering the Chief Financial Officer...negotiating across CFO partners, as well as EFR organization, Compliance & OpRisk, and other verticals (GBAM and Banking)… more
- Robert Half Finance & Accounting (New York, NY)
- Description Our client, a highly recognized Broker - Dealer firm is currently seeking an Anti-Money Laundering (AML) Analyst to join their team. This is a dynamic ... activities and red flags. - Collaborating with the Chief AML Officer and compliance team to identify and mitigate risks. - Drafting Suspicious Activity… more