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Current
New York, NY, United States
MANAGER, COMPLIANCE TESTING Current is a leading U.S. fintech serving people who have been overlooked by traditional banks with nearly 4 million members. Headquartered in NYC, our results-driven environment enables us to build better products, grow faster and empower everyone on our team to have an impact on our business and our mission to improve
Job Source: CurrentBBVA
, NY, United States
Compliance Testing - Manager BBVA Job Summary Within the US Compliance unit of a large global foreign bank branch, the individual will assist the Head of the Compliance Testing Unit in the US, which is part of the global Compliance Testing team within BBVA. For this purpose, he or she will assist in conducting the global Compliance Testing progra
Job Source: BBVABrown Brothers Harriman
New York, NY, United States
At BBH we value diverse backgrounds, so if your experience looks a little different from what we've outlined and you think you can bring value to the role, we will still welcome your application! What You Can Expect At BBH: If you join BBH you will find a collaborative environment that enables you to step outside your role to add value wherever y
Job Source: Brown Brothers HarrimanAmalgamated Bank of NY
New York, NY, United States
The Head of Compliance Monitoring & Testing is responsible for ensuring compliance with regulatory requirements and internal policies across Amalgamated Bank. You will play a critical role in safeguarding the integrity of our operations, identifying and mitigating compliance risks, and driving a culture of compliance excellence throughout the organ
Job Source: Amalgamated Bank of NYSMBC
Jersey City, NJ, United States
SMBC Group is a top-tier global financial group. Headquartered in Tokyo and with a 400-year history, SMBC Group offers a diverse range of financial services, including banking, leasing, securities, credit cards, and consumer finance. The Group has more than 130 offices and 80,000 employees worldwide in nearly 40 countries. Sumitomo Mitsui Financial
Job Source: SMBCTD Bank
New York, NY, United States
Work Location : New York, New York, United States of America Hours: 40 Line of Business: Compliance Pay Detail: $160,000 - $187,000 USD TD is committed to providing fair and equitable compensation opportunities to all colleagues. The included salary range for this role takes into account multiple factors that are considered in making compensati
Job Source: TD BankExperis
New York, NY
Our top banking client is seeking a Vice President of Compliance Monitoring & Testing (Swaps) to join their office in New York City. This position will play an integral role in the development of the Monitoring and Testing program, and will have coverage over the banks Swap Dealer Operations. Job Title: Vice President, Compliance Monitoring & Tes
Job Source: ExperisSMBC
Jersey City
SMBC Group is a top-tier global financial group. Headquartered in Tokyo and with a 400-year history, SMBC Group offers a diverse range of financial services, including banking, leasing, securities, credit cards, and consumer finance. The Group has more than 130 offices and 80,000 employees worldwide in nearly 40 countries. Sumitomo Mitsui Financial
Job Source: SMBCNew York, NY, United States
Job Description
Wedbush Securities is one of the largest full-service investment banking and brokerage firms in the nation. We provide innovative financial solutions through Wealth Management, Capital Markets, and Clearing & Execution divisions. Headquartered in Los Angeles, California with over 100 offices and more than 80 correspondent broker/dealers, our commitment to providing relentless, customized service is the foundation of our consistent growth. We are seeking an experienced Compliance Testing TEMP in our New York City office.
Responsibilities include, but are not limited to:
Conducting compliance testing pursuant to FINRA Rule 3120
Conducing branch office inspections
Conducting supervisory control procedures testing
Conducting a review of compliance policies and procedures on a quarterly basis for rule changes/updates, changes to the policies
Participating in the branch office exam risk assessments
Supporting the CCO in other projects as necessary
Perform other tasks and duties as required and assigned
Experience and Skills Bachelor's Degree from an accredited university
Minimum 7 years experience in compliance testing at a broker-dealer
Licenses preferred (but not required): Series 7, 24
Proficient in Microsoft Office (Outlook, Word, Excel, PowerPoint)
Strong analytical, problem-solving, and critical-thinking skills
Strong verbal and written communication skills
Organized, detail oriented, ability to prioritize daily work flow, and ability to work independently
Job Benefits
Wedbush Securities (WS) aims to foster a culture of inclusion where all Colleagues are valued for their unique contributions to the firm provided equal opportunities to succeed.
The reasonable estimate of the compensation range for this role has not been adjusted for the applicable geographic location. A reasonable estimate of the current range is $70,000-$75,000. Colleagues may be eligible for additional, discretionary incentive compensation based on the colleague's and the firm's performance. At Wedbush, it is not typical for an individual to be hired at, or near, the top of the range for their role. Decisions regarding compensation are determined on a case-by-case basis and are dependent on a variety of factors including but not limited to location; skill sets; experience and training; licensure and certifications; and other business and organizational needs.
Wedbush uses E-Verify, an Internet-based system, to confirm the eligibility of all newly hired employees to work in the United States. Learn more about E-Verify, including your rights and responsibilities here https://www.e-verify.gov/employees/e-verify-overview
Email Alert for Compliance Testing (Temporary) jobs in New York, NY, United States
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