- 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
- Charles Schwab (Westlake, TX)
- …of governance processes, risk management, and internal controls. The Broker - Dealer /Asset Management enterprise team is seeking a Senior Auditor (Senior ... 5+ years of financial services-related audit experience with growing responsibility. Broker Dealer /Asset Management experience specific to internal audit and/or… 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
- Morgan Stanley (Baltimore, MD)
- … * A foundational understanding of the financial markets and banking, including broker - dealer product-based knowledge and the ability to learn concepts quickly * ... governance, oversight and execution of the Firm's Anti-Money Laundering ( AML ), Sanctions, Anti-Corruption and Government and Political Activities Compliance… more
- Zions Bancorporation (Salt Lake City, UT)
- …matter expertise on compliance and risk topics pertinent to the institutional broker dealer , bank dealer and municipal advisor. + Conduct scheduled ... an Investment Compliance Officer within the Market, Liquidity, Wealth Risk & Compliance Team. This position can be located...divisions of Zions Bancorporation including but not limited to Broker Dealer , Capital Markets and Public Finance… more
- Bank of America (Pennington, NJ)
- …Engage with the Financial Crimes Analytics Team to drive thematic reviews of key risk areas for the broker - dealer and develop/enhance GFC automated detection ... potential AML risks and/or control weaknesses + Conduct targeted risk assessments, threat assessments and process understandings to identify new or emerging… more
- Deloitte (Columbus, OH)
- …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 (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
- First National Bank of Omaha (Omaha, NE)
- …regulatory training. The ideal candidate will have an established understanding of broker - dealer and RIA regulations and compliance requirements **About This ... position. + Sufficient working knowledge of rules and regulations related to broker / dealer and registered investment advisor activities including the '33 Act;… 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
- TD Bank (Greenville, SC)
- …effectively with other departments **OCC Language:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA and ... prospects and clients to understand their long-term financial goals, objectives and risk tolerance by analyzing their financial information including but not limited… more