- Tradeweb (New York, NY)
- …services firm in the role of a CCO or similar senior role supporting a broker dealer . + Strong understanding of regulatory and self-regulatory agencies rules and ... implementation and oversight of the compliance program established to support the broker - dealer and will monitor and act upon regulatory developments relating… more
- ManpowerGroup (New York, NY)
- …conducting Enhanced Due Diligence within a multi-faceted financial services institution (ie Broker Dealer , Bank/Private Bank, Investment Banking Firm or similar ... AML EDD Analyst Pay $35-45 hour Location NY,...potential Sanctions matches). They will evaluate information received, determine risk factors, and provide an assessment based on research… more
- Deloitte (New York, NY)
- …develop data-driven solutions using traditional and emerging technologies to solve complex regulatory risk and AML challenges. + Use an intelligence led approach ... Position Summary Anti-Money Laundering ( AML ) Analytics is one of the fast-growing practices...Microsoft PowerPoint. + Experience with wire transfers, trade finance, broker / dealer trades. Data governance, data lineage, data… more
- Ankura (New York, NY)
- …companies, third-party payment processers, consumer collections agencies and securities/brokerage [ broker dealer ] + Working knowledge/experience with virtual ... broker -dealers. + Provide advice on technology implementation and enhancement including AML Transaction Monitoring (TM), Customer Risk Rating (CRR), Sanctions… more
- SMBC (New York, NY)
- …Description** The SMBC Compliance Department monitors the corporate banking, investment banking and broker dealer activities of SMBC Group and reports on the ... administers the SMBC Employee Investment Policy, arranges for the registration of broker - dealer personnel, and conducts compliance training. In addition, the… more
- NatWest Markets (Stamford, CT)
- …& Experience** + In-depth knowledge of pre-trade client onboarding processes related to broker - dealer , swap dealer and capital markets businesses with ... Compliance team to maintain effective oversight of financial crime risk frameworks, systems and controls + Provide urgent first...experience across a wide range of regulatory requirements ( AML /KYC, securities rules, Dodd Frank, etc.) + Ability to… more
- TD Bank (White Plains, NY)
- …seq., and its implementing regulations, 12 CFR Part 1007; and is with a FINRA member, broker or dealer and is subject to the requirements of FINRA and Securities ... Banking relationships, maximizing profitability of the portfolio, while ensuring minimum credit risk for Bank funds. **Depth & Scope:** + Demonstrates a commitment… more
- Citigroup (New York, NY)
- …for: (1) overseeing the strategic direction of large relationships with bank, broker - dealer , and other financial intermediary clients; (2) growing commercial ... credit, operational, compliance, and reputational risks (this includes responsibility for the AML /KYC and credit approval processes) + Be familiar with and adhere to… more
- TD Bank (New York, NY)
- …accordance with Firm policy and regulatory requirements. TD has been growing its US Broker Dealer activities over the last few years both organically and through ... position also works with management / control function partners (eg Risk , Legal, Compliance, AML and Audit) to assess risks, develop and implement proactive… more