- Citigroup (Jersey City, NJ)
- Serves as a senior compliance risk manager for Independent Compliance Risk Management (ICRM)'s Compliance Independent Assessment (CIA) Team responsible ... for assessing compliance with Volcker rule, Swap dealer requirements and significant compliance risks and...activities globally with strong collaboration with global Markets Product Compliance senior management in accordance with CIA)… more
- Scotiabank (New York, NY)
- Senior Manager, US Compliance Risk Assessment **Requisition ID:** 207309 **Salary Range:** 110,700.00 - 211,800.00 _Please note that the Salary Range shown is a ... industries! We work together to drive ambition for every future! **Purpose** The Senior Manager, US Compliance Risk Assessment contributes to the overall success… more
- 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
- 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
- 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
- Citizens (Tarrytown, NY)
- …insurance regulatory requirements pertaining to marketing and advertising in a retail broker/ dealer environment. + Knowledge of compliance related matters within ... Description The Compliance Team Lead will have responsibilities within the...of Citizens Wealth Management, including its registered investment advisor, broker- dealer and trust activities. The role ensures that the… more
- TD Bank (New York, NY)
- …and serves as a crucial safeguard against financial Crimes within our Wealth and Broker Dealer groups. The Senior Manager should be well-versed in AML laws and ... controls + Contributes to the development and implementation of AML/ATF/Sanctions/ABAC Compliance programs + Works with senior business unit management/partners… more
- Scotiabank (New York, NY)
- …should involve compliance testing or audit. + Experience/background in compliance applicable to broker- dealer internal inspections, institutional trading & ... Manager, Compliance Testing **Requisition ID:** 206799 **Salary Range:** 85,700.00...covers US regulations applicable to all of Scotiabank's US broker- dealer (including internal inspections), banking, investment management activities, corporate… 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
- KPMG (New York, NY)
- **Business Title:** Director, Markets Compliance **Requisition Number:** 118215 - 68 **Function:** Advisory **Area of Interest:** **State:** NY **City:** New York ... (https://advisory.kpmg.us/) practice. Responsibilities: + Develop frameworks and methodologies for compliance , supervisory, operational and regulatory risk-management programs + Review… 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 theAVP Distributor… 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
- 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
- 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
- Citizens (Tarrytown, NY)
- …launches, sells, and processes products and services. The First Line Risk Senior Manager will integrate activities between Risk, Compliance , and brokerage ... management Supervision. Experience in developing Private Wealth risk and compliance programs for dual-registered Broker- Dealer /Registered Investment Advisor, and… 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