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The ideal candidate will have extensive expertise in banking operations, Broker Dealer and Swap Dealer regulations (including the global impact of relevant U.S. regulations), compliance with regulations, and a deep understanding of front office sales and trading operations.
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Oversee the broker-dealer compliance program functions including implementation of written supervisory procedures, policies, training, annual testing, transaction monitoring and AML compliance.
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This job assists in the regulatory oversight for TD Private Client Wealth,(TDPCW), a US registered Investment AdvisoryService and a US Broker Dealer and TD Wealth Management Services Inc.(TDWMSI), with a focus on new account review and suitability forand trades executed in the TDPCW Broker Dealer and Registered Investment Advisor, as well as our fixed annuity insurance platforms.
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Strong understanding of Bank, Broker/Dealer and CCP business mixes and embedded risks associated with their investments and operations. Proven history of performing financial statement analysis and conducting bank and broker/dealer credit due diligence reviews.
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The Fixed Income Compliance Officer is responsible for day-to-day monitoring and surveillance of the Global Markets Division ("GMD") Swap Dealer and U.S. Broker-Dealer. -Review daily broker-dealer surveillance (ex.
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Advanced knowledge of the U.S. Swap Dealer regulatory framework, specifically CFTC and NFA rules and regulations. -Assist in providing guidance and advice to the GMD staff on compliance issues.
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3-5 years in the financial services industry at a broker/dealer or regulatory agency (i.e. FINRA, SEC, CFTC), ideally with an emphasis on surveillance with exposure to business, IT, operations, support, and control functions.
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Understanding of Liquidity risk management concepts, including cash flow forecasting, liquidity stress testing, and analysis of funding sources and uses for both bank and broker dealer entities.
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This role will support the US Wealth Management group and serves as a crucial safeguard against financial Crimes within our Wealth and Broker Dealer groups. The Senior Manager, AML Financial Crime Risk Oversight oversees the team and leads 2nd-line oversight activities and monitoring of the AML/ATF/Sanctions/ABAC compliance programs for covered TD businesses and legal entities, including managing critical program initiatives and handling complex/high-risk matters and escalations.
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Profile required DIVISION DESCRIPTION: The Compliance department acts as Second Line of Defense of the corporate banking, investment banking and broker–dealer activities across Societe Generale’s operations, reporting on the compliance risks and issues to local, regional, and head office management.
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Top-Tier Investment Management Company in Midtown, Manhattan is seeking a Director of Broker-Dealer Compliance! Develop, maintain and implement compliance program for broker-dealer which serves as the distributor of registered funds and private/non-listed investment products.
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Ensure compliance with relevant regulatory rules and review quarterly FINRA filings for broker-dealer entity. We're seeking a Corporate Accountant to join our dynamic Finance team in New York City. Reporting directly to the Senior Vice President of Finance, this position will ensure the precision and efficiency of our month-end financial closes for our management company and broker-dealer entity.
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Bloomberg has regulated activities that include regulated trading venues (e.g., UK Multilateral Trading Facility, US Swap Execution Facility), MIFID II benchmark activities, a US Broker-Dealer, and other regulated offerings globally.
$210,000 a yearFull-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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Trade, as well as Regulator or institutional broker dealer compliance experience preferred. Works with traders, compliance, and other risk functions to review trade surveillance alerts and investigate potential compliance issues.
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The opportunity The Sector Compliance Team focuses on services to financial organizations that address SEC, CFTC, FINRA, NFA OCC and other regulatory requirements for retail and institutional broker dealer compliance, capital markets, banking, swap dealer trading, investment management and investment advisor compliance.
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compliance broker dealer jobs in New York, Osseo, Minnesota
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