- Capital One (New York, NY)
- …regulations, within an enterprise-level risk management framework. The Compliance Advisor Senior Manager also assists the Broker Dealer CCO in keeping ... (22957), United States of America, New York, New York Compliance Advisor Senior Manager The Compliance... Manager will report directly to the Commercial Broker Dealer Chief Compliance Officer. This role will… more
- Bank of America (New York, NY)
- …Officers (CCO) in administering their duties to oversee the Company's swap and SBS dealer compliance and operational risk program; * Assist with drafting the CCO ... to address regulatory requirements + Oversees independent risk management reporting to Global Compliance and Operational Risk senior leaders and FLU and CF … 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
- Morgan Stanley (New York, NY)
- …families residing in international markets served by the business. The International Senior Lending Advisor ("ILA") will support the growth of our IBL business ... coordination with all parties involved, including CRM Team, ICA, PB, Loan Operations, Compliance , In-house and Outside Counsel and any other party involved in the… 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
- Bloomberg (New York, NY)
- …world-class support to our business partners by providing insight on business performance , financial oversight and thought leadership. We are currently seeking a ... seasoned Senior Financial Specialist to support Bloomberg's Regulated Entities Finance...our global electronic trading businesses including the US broker dealer . The role will provide critical Regulatory and Financial… more
- Sharp Electronics Corporation (Montvale, NJ)
- …our SHARP brand and products. + Providing timely updates to management on performance , opportunities, concerns, key dealer sales reps/contacts and needs like ... training, pricing, meetings, etc. to drive growth and achievement of the dealer 's primary objectives and SHARP's quota performance + Assisting the Sr. Director… 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
- Capco, a Wipro Company (New York, NY)
- …challenges and opportunities in: Banking, Capital Markets, Finance Risk & Compliance , Insurance and Wealth and Investment Management. Capco's strategy practice ... is right for their business - creating the desired culture which drives high performance and sustainability. **What You'll Get to Do:** + Focus on strategic client… more
- Neuberger Berman (New York, NY)
- …with professionalism, accuracy and within deadlines, including supporting the Dealer Services/Intermediary Call Center + Perform client account maintenance including ... Partner with internal groups (Portfolio & Wealth management, sales/marketing and legal/ compliance teams) to deliver timely and accurate responses to internal… 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
- 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
- Bank of America (New York, NY)
- …team and will focus on assisting in the resolution of Merrill broker- dealer customer-related inquires and complaints. The ideal candidate for this role should ... build relationships and work collaboratively across the organization, including with senior leaders. **Key Responsibilities** : + Assist in the research, resolution… more
- Scotiabank (New York, NY)
- …inclusive work environment. **What You'll Bring** + 5+ years of progressive banking/broker- dealer experience in audit, risk, compliance , and/or capital markets ... work as part of the team and assist the Senior Managers and/or Director, US Internal Control & Global...such as COEs, regional audit teams including Capital Markets, Compliance , Risk Management, and IT to develop a stronger… 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
- Principal Financial Group (Stamford, CT)
- …Management team. In this role, focus on portfolio administration, client service, performance reporting, marketing, and compliance monitoring! You will lead a ... data, maintaining analytic systems, preparing client review materials, and ensuring compliance across the firm. Additionally, you'll support senior management… more