- SMBC (New York, NY)
- …in real time as business is conducted and transactions are executed. **Role Objectives** The Broker Dealer Regulatory Governance Advisory Team within the ... and reporting. Regulatory Engagements: The Regulatory Governance Team supports SMBC's Broker - dealer entity in managing regulatory exams and… more
- Capital One (New York, NY)
- …**Program Oversight & Governance ** + Lead daily surveillance operations for both Broker - Dealer and Swap Dealer trading activities. + Oversee the ... Trade Surveillance Manager ( Broker - Dealer & Swap Dealer )...Participate in scenario testing, calibration reviews, and overall system governance . ** Regulatory & Audit Support** + Support… more
- SMBC (New York, NY)
- …frameworks - Track regulatory developments and interpret implications for swap dealer governance , reporting, and risk controls New Business and Issue ... dealer , and Nikko Risk - Lead issue governance , tracking, and compile closure packs of regulatory...estimation, documentation and internal controls). - Strong understanding of regulatory requirements applicable to Swap- Dealer , Broker… more
- SMBC (New York, NY)
- …- Track regulatory developments and interpret implications for swap dealer governance , reporting, and risk controls **Qualifications and Skills** ... entity. This role will focus heavily on issue management, governance coordination, reporting and execution of key regulatory...years of experience in risk management, counterparty risk, risk governance , broker - dealer risk, or swap… more
- TD Bank (New York, NY)
- …JD desirable but not required. + 5-7 years of experience with a registered US broker dealer , swap dealer , Global Systematically Important Bank (GSIB), or ... a team(s) of specialists/professionals providing advice, guidance and expertise on regulatory requirements and assisting business units to manage their regulatory… more
- MUFG (New York, NY)
- …to the team from planning to resolution + Identify Key Data Elements across the broker dealer entity and key regulatory reports and ensure data quality ... more details. **Responsibilities:** + As part of the Data Governance team work across various pillars of the data...personnel to determine MSIIs / audit points. Assist the broker dealer entity in correctly Identifying the… more
- GE Vernova (New York, NY)
- …compliance obligations for regulated securities transactions arranged through a registered Broker - Dealer and Financial Industry Regulatory Authority (FINRA) ... Summary** GE Vernova's Ethics & Compliance Team is seeking an experienced regulatory compliance professional that will partner with GE Vernova's Financial Services… more
- Raymond James Financial, Inc. (New York, NY)
- …and an understanding of the market standard risk management practices . Broker - dealer supervisory frameworks, retail investment platforms, and UHNW product risks ... of fifteen (15) years of financial services experience required . Experience in broker - dealer or wealth management firms preferred, especially with exposure to… more
- TD Bank (New York, NY)
- …preparation and consolidation of the monthly close, review entries and reconciliations for broker - dealer and non- broker - dealer entities and ensure ... highly complex financial management/ specialized accounting / taxation / audit / regulatory reporting and operational issues + Acts as the primary interface with… more
- HUB International (New York, NY)
- …& Private Wealth (RPW) SEC registered investment advisor and limited purpose FINRA Broker - Dealer : The Chief Compliance Officer, will be a highly visible, senior ... HUB is one of the largest global insurance and employee benefits broker , providing a boundaryless array of business insurance, employee benefits, risk services,… more
- TD Bank (Ramsey, NJ)
- …experience + Series 7 and 24 **OCC:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA and Securities ... and operational oversight of the trading desk, ensuring adherence to regulatory requirements, risk management practices, and timely execution of trading activities.… more
- Wells Fargo (New York, NY)
- …statutory disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing ... throughout the product lifecycle. + Influence executive stakeholders and governance forums to prioritize initiatives and allocate resources. +... regulatory obligations, which include periodic screening and mandatory reporting… more
- Deloitte (New York, NY)
- …workshops in Microsoft PowerPoint + Experience with wire transfers, trade finance, broker / dealer trades. Data governance , data lineage, data testing. ... Senior Consultant, Anti-Money Laundering Analytics About Deloitte Regulatory , Risk & ForensicOur Deloitte Regulatory ,...About Deloitte Regulatory , Risk & ForensicOur Deloitte Regulatory , Risk & Forensic team helps client leaders translate… more
- Wells Fargo (New York, NY)
- …statutory disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing ... regulatory obligations, which include periodic screening and mandatory reporting...sound risk decisions. There is emphasis on proactive monitoring, governance , risk identification and escalation, as well as making… more
- Wells Fargo (New York, NY)
- …statutory disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing ... regulatory obligations, which include periodic screening and mandatory reporting...sound risk decisions. There is emphasis on proactive monitoring, governance , risk identification and escalation, as well as making… more
- Wells Fargo (New York, NY)
- …statutory disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing ... regulatory obligations, which include periodic screening and mandatory reporting...sound risk decisions. There is emphasis on proactive monitoring, governance , risk identification and escalation, as well as making… more
- Wells Fargo (New York, NY)
- …statutory disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing ... regulatory obligations, which include periodic screening and mandatory reporting...sound risk decisions. There is emphasis on proactive monitoring, governance , risk identification and escalation, as well as making… more
- MUFG (New York, NY)
- …and services with an emphasis on Securities products + Strong understanding of the Broker Dealer KYC requirements + Knowledge in client life cycle management, in ... matters received from applicable Bank personnel + Maintain working knowledge of all regulatory obligations and be able to relate them to MUFG policies and procedures… more
- Wells Fargo (New York, NY)
- …statutory disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing ... regulatory obligations, which include periodic screening and mandatory reporting...sound risk decisions. There is emphasis on proactive monitoring, governance , risk identification and escalation, as well as making… more