- 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
- 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
- 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 (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
- 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
- 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
- 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
- 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
- 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