• Broker Dealer Testing

    NatWest Markets (Stamford, CT)
    …be assigned as necessary to ensure the proper operations of the department and the business._ ** Broker Dealer Testing VP ** This role will report to the ... more
    NatWest Markets (01/04/25)
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  • Compliance Officer - Vice President

    Arena Investors LP (Purchase, NY)
    …of compliance policies and procedures; . Administration of firm (Investment Adviser and Broker - Dealer ) annual compliance review ( testing and monitoring); . ... more
    Arena Investors LP (02/11/25)
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  • Vice President - Compliance,…

    TD Bank (New York, NY)
    …partners and groups. + 6 or more years of experience with a registered US broker dealer or regulator. + Knowledge of wholesale banking products and services, ... more
    TD Bank (01/28/25)
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  • Vice President , Compliance…

    TD Bank (New York, NY)
    …similar degree, required. + 7 or more years of experience with a registered US broker dealer , regulator, or global financial organization. + JD desirable but not ... more
    TD Bank (01/28/25)
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  • Internal Audit, Vice President

    MUFG (New York, NY)
    …Risk Management with demonstrated familiarity including Sales and Trading; and familiarity with Broker - Dealer and applicable regulations, such as DFA Swap ... more
    MUFG (01/24/25)
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  • Vice President - Compliance Risk…

    TD Bank (New York, NY)
    …partners and groups. + 6 or more years of experience with a registered US broker dealer or regulator. + Knowledge of wholesale banking products and services, ... more
    TD Bank (01/28/25)
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  • VP , Global Business Line Compliance…

    Santander US (New York, NY)
    …banking advisory engagements and transactions. + Functional knowledge of FINRA, SEC, broker dealer regulations; knowledge of Regulation M, SEC 10b-5, and ... more
    Santander US (01/30/25)
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  • Corporate Compliance Internal Auditor - Financial…

    Mizuho Corporate Bank (New York, NY)
    …to add value and improve Mizuho Bank's US operations including the derivatives and broker dealer businesses. Based in the New York Metro area, IADA staff ... more
    Mizuho Corporate Bank (01/22/25)
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  • Liquidity Risk Oversight Manager

    SMBC (New York, NY)
    …Risk Management Department Americas Division (RMDAD) has an opening for an Associate/ Vice President in the Liquidity Risk Management Group. This position ... more
    SMBC (02/06/25)
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