- Amazon (New York, NY)
- …tools to support the entire vehicle discovery journey. We are seeking a Senior Dealer Performance & Compliance Manager to sit within our Seller ( ... dealer certification program and dashboard to review key performance inputs such as account health, policy compliance...strategy, end to end delivery, and communicating results to senior leadership - BA/BS degree or equivalent experience -… more
- US Bank (New York, NY)
- …Markets is a senior level management position that supports the Regulatory Compliance Audit Director/ Senior Audit Director of the Risk Management and ... Compliance audit team. This role supports the Audit Director/ Senior Audit Director, in providing the Audit Committee and senior management with independent… more
- Scotiabank (New York, NY)
- Senior Analyst, Regulatory Obligations & Controls, US Compliance **Requisition ID:** 201761 **Salary Range:** 67,400.00 - 125,200.00 _Please note that the Salary ... compliance , AML/ATF/sanctions and conduct risk. + Champion a high- performance environment and contributes to an inclusive work environment. **What You'll… more
- Bank of America (New York, NY)
- …Individual will be part of the GCOR Swaps Enterprise Area of Coverage **("Swap Dealer EAC")** team which covers compliance with the Swaps Program across Bank ... VII). The person will be responsible for interfacing with senior regulators at the CFTC, the NFA, the SEC,...banks. **Swap Dealer EAC** + The Swap Dealer Enterprise Area of Coverage (EAC) Compliance … more
- Scotiabank (New York, NY)
- Senior Manager, US Finance Audit **Requisition ID:** 201571 **Salary Range:** 110,700.00 - 211,800.00 _Please note that the Salary Range shown is a guideline only. ... **Purpose** Lead and execute Financial and Regulatory Reporting related audits. Senior Manager leads and oversees audit coverage and initiatives, ensuring all… 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
- Deloitte (New York, NY)
- …in the AML and Economic Trade Sanctions domain. As an Anti-Money Laundering Analytics 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
- Hold Brothers (New York, NY)
- …local, payroll, property and other applicable taxes. + Supervision and/or performance of the Broker- Dealer 's responsibilities under all financial responsibility ... Hold Brothers Capital, LLC, a leading self-clearing proprietary broker- dealer , is seeking an EVP of Finance &...accounting standards. Essential Functions + Partner with CEO and senior management to work on day to day operations… 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
- BMO Financial Group (New York, NY)
- The US Capital Markets Compliance Team is seeking a Compliance Director with primary accountability for the Firm's Cash Equities Electronic Trading businesses, ... across two US broker-dealers. The role will include accountability for compliance advisory services, design and execution of surveillance activities, and… 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
- MUFG (New York, NY)
- …member of our recruitment team will provide more details. **Job Summary:** The Senior Auditor I role within Internal Audit is responsible for leading independent, ... (eg planning, fieldwork testing, reporting, issues validation, etc.). The Senior Auditor I also establishes direction for staff on...and trusted level and exhibit a high standard of performance and professional conduct that will create a culture… more
- TIAA (New York, NY)
- …the United States. Business lines consists of Institutional Retirement, Wealth, Broker- Dealer , TC Funds, Life Insurance, Nuveen affiliates, and education savings. ... track record for delivering results. This individual will also supervise and lead performance of the annual AML and OFAC risk assessments according to TIAA's… more
- MUFG (New York, NY)
- …and report key risk metrics. . Work closely with Internal Audit and Compliance functions to manage inquiries and requests. **Qualifications:** . As part of the ... Interest Rate Derivatives, equities, credit, securitized products) and Swap Dealer / Broker Dealer regulation are highly...gaps. . Ability to interact effectively with mid and senior -level managers. . Ability to prioritize assignments to meet… more
- Deloitte (Stamford, CT)
- …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
- Bloomberg (New York, NY)
- …extraordinary support to our business partners by providing insight on business performance , financial oversight and thought leadership. We are currently seeking a ... Capital and Liquidity Senior Specialist in the Enterprise Products division to support...own funds requirement / Overall Financial Adequacy Rule (OFAR) compliance + Well versed in the UK Companies Act… more
- JPMorgan Chase (New York, NY)
- …well. **Job Responsibilities:** + Provide legal advice to business partners, including senior level management and directors of the Global Shares Group, regarding ... regulators, working with Global Share management and other functions such as Compliance as required; + Help to monitor relevant legislation and regulations affecting… more
- JPMorgan Chase (New York, NY)
- Bring your expertise to JPMorgan Chase. As part of Risk Management and Compliance , you are at the center of keeping JPMorgan Chase strong and resilient. You help the ... impact our company, customers and communities. Our culture in Risk Management and Compliance is all about thinking outside the box, challenging the status quo and… more
- TD Bank (New York, NY)
- …emerging trends and; identifying issues and opportunities and recommending action to senior management + Works effectively with multiple teams across a broad ... alignment with risk appetite + Ensures business operations are in compliance with applicable internal and external requirements (eg financial controls, segregation… more