Help establish best in class risk and controls by testing and monitoring the broker dealer program of one of the... largest financial services companies in NA. The Monitoring and Testing Team sits in Core Compliance and covers the the firm...
Inquiries VP, you should have experience with: Managing a large portfolio of regulatory inquiries SCC broker-dealer rules... and assessment of compliance risks through thorough reviews of business activities, changes, processes, testing and systems...
(particularly, SEC rules and regulations, FINRA broker dealer rules, state M&A law and conflicts of interest developments... Admission ⢠Familiarity with SEC rules and regulations, FINRA broker dealer rules, state M&A law ⢠Experience...
of Mizuho Bank and a US bank holding company, including subsidiaries such as the broker dealer and derivative trading entities... and broker dealer entities. Working knowledge of FR2052a reporting rules and application, as well as LCR, NSFR. Knowledge...
technology with experience in Technology auditor. Preferably worked in the Broker-Dealer world and handled multiple projects... will provide more details. Senior Technology Auditing, Compliance, & Governance Manager will ensure the integrity...