AML & Broker-Dealer Audit Lead
JobPath Partners LLC
TD Bank in New York, NY is seeking an Audit Manager I (US) focused on Financial Crimes, AML and Broker Dealer risks. You will execute audits for assigned functions, lead or contribute to projects, and ensure compliance with internal standards. The role requires an undergraduate degree and 5+ years of relevant experience, with AML/Sanctions audit exposure and broker-dealer background highly preferred. Travel limited. #J-18808-Ljbffr JobPath Partners LLC
Vacancy posted 2 days ago
Similar jobs that could be interesting for youBased on the AML & Broker-Dealer Audit Lead in New York, NY vacancy
- TD Bank is seeking an Audit Manager I for Financial Crimes focusing on AML and Broker-Dealer related audits. The role performs end-to-end audits, mentors teammates, and ensures adherence to established standards. The candidate should have 5+ years of relevant experience...Suggested
$75.02k - $125.18k
Audit Manager I (US) - Financial Crimes - AML / Broker Dealer Work Location: New York, New York, United States of America Hours: 40 Pay Details: $75,020 - $125,... ...expertise on audits ranging in complexity. May manage/lead a number of moderately complex audits, related...SuggestedWork at officeLocal area$70.6k - $139.8k
Crowe is seeking an Audit Senior Associate for its New York office. The role involves leading client engagements, supervising staff, and maintaining client relationships in the Broker Dealer industry. Candidates should have over 2 years of experience in public accounting...SuggestedWork at office$110.64k - $136.46k
...About The Role The Compliance Manager, Broker-Dealer & Investment Adviser is an essential member... ...Compliance Team, reporting to the Compliance Lead (Director). This role is the operational... ...program areas: advertising, complaints, AML, trade errors, books and records, vendor...SuggestedFull timeWork at officeLocal area2 days per week3 days per week$91.4k - $186.9k
...through innovation has been a core part of our DNA across our audit, tax, and consulting groups. That’s why we continuously invest... ...relevant public accounting external audit experience working with Broker Dealer clients.Must have CPA certification aligned to the assigned...SuggestedLocal areaWorldwideHome office$70.6k - $139.8k
...has been a core part of our DNA across our audit, tax, and consulting groups. That’s why we... ...Senior Associates with experience in the Broker Dealer industry vertical. As an Audit Senior Associate , you will further learn to lead, gain deep industry insight, and grow relationships...Local areaWorldwideHome office- Crowe is seeking an experienced audit leader to oversee a team of auditors for broker-dealer clients and drive high-quality, compliant engagement delivery. You will manage engagements end-to-end, mentor staff, and maintain strong client relationships across multiple sites...
$120.8k - $137.9k
...surveillance program across both its institutional Broker-Dealer (BD) and Swap Dealer (SD) businesses.... ...day-to-day surveillance monitoring, lead deep-dive investigations into complex... ...& Reporting Maintain comprehensive, audit-ready documentation of all alert reviews...Full timePart timeLocal areaCapital One National Association
New York, NY3 days ago$110k - $140k
...as a trusted point of contact for order flow, market color, and trading ideas. Leverage Galaxy Securities’ unique position as a broker‑dealer within a crypto‑native firm to develop innovative cross‑asset products and solutions for institutional clients. Partner with internal...Work at officeLocal areaFlexible hoursGalaxydigitalservices
New York, NY3 days ago- LexisNexis Risk Solutions is seeking an Account Manager / New Business Development Executive to drive growth in the broker-dealer segment. You will identify, develop, and close new business opportunities while managing select existing accounts. The ideal candidate has a...
- RELX INC is seeking an Account Manager / New Business Development Executive to drive growth in the broker‑dealer segment. The role centers on identifying, developing, and closing new business while managing select existing accounts. You will leverage consultative selling...Work from home
- Taurus Search, a leading Financial Institution, is seeking an AVP for their Broker Dealer Regulatory Reporting team in New York City. This role offers a strong work-life balance and hybrid work. Key responsibilities include preparing the daily net capital and customer...
- An International Broker Dealer is looking for an experienced Corporate Actions specialist to join their team. This candidate will be responsible for processing all mandatory and voluntary corporate actions for the firm’s equities and stock loan operations teams. Additional...
$150k - $200k
...Compliance Officer role for an International Broker Dealer and Investment firm located in midtown... ..., escalation, and remediation AML, KYC & Onboarding: Oversee client onboarding... ...AML program Governance, Reporting & Audits: Manage record-keeping obligations...Work at officeRemote work- Top‑Tier Broker‑Dealer in NYC is seeking a Director of Accounting! Role Support the monthly, quarterly, and annual financial reporting functions... ...or finance. FINRA Series 27 License Public Accounting/Audit Background CPA License Knowledge of SEC rules and...
- Taurus Search seeks a seasoned VP, Broker Dealer Regulatory Reporting in New York to lead complex 15c3-3 customer reserve calculations and daily reporting processes. The ideal candidate has at least 5 years of experience preparing the 15c3-3 formula, familiarity with daily...
- Global Markets client, is seeking a VP, Broker Dealer Regulatory Reporting to join their growing team. The VP, Broker Dealer Regulatory reporting will need to have a background in calculating the broker dealer regulatory reports. The firm has just went from a weekly 15c...
- Nextera Search is seeking a professional in New York, NY to oversee compliance with broker-dealer regulatory capital requirements. You will perform daily regulatory capital calculations and ensure adherence to financial responsibility rules. The ideal candidate has 7-12...
- JCW Group is helping a leading multinational bank hire a Controller to own the financial and regulatory reporting for its broker-dealer entity in the U.S. This role sits at the center of the finance organization and offers exposure to senior leaders across the bank. The...
- Wise is seeking a Lead Compliance Manager in New York to provide senior compliance leadership for its North America Assets. This... ...candidate should have over 12 years of relevant experience in broker-dealer regulatory compliance, strong knowledge of regulatory standards...
- Manager, U.S. Broker Dealer Regulatory Reporting Requisition ID: 257592... ...Banking and Markets (GBM) is a leading Canadian Capital Markets and... ...assisting in the preparation of audited and unaudited regulatory... ...to operational, compliance, AML/ATF/sanctions and conduct risk...Local areaFlexible hours
$159.4k - $181.9k
...company is seeking a highly skilled Trade Surveillance Manager to enhance its surveillance program across Broker-Dealer and Swap Dealer activities. This role involves leading daily operations and ensuring compliance with regulatory requirements, while also managing and...- Gusto is hiring a Compliance Manager for their team in New York. This pivotal role involves supervising compliance programs and ensuring operational efficiency within the Gusto Retirement Compliance Team. Successful candidates will need a minimum of 5 years compliance experience...
$200k - $240k
...wealth management ecosystem, particularly across Independent Broker Dealers (IBD). This role will understand the nuances of private market... ...integrate iCapital’s platform into their broader wealth offering. Lead enterprise-level initiatives that promote the adoption of...Full timeWork at officeRemote work- OTC Markets Group seeks an Assistant General Counsel (Capital Markets, Broker-Dealer, FinTech) in New York City. You will provide strategic legal guidance across product development, technology, compliance, finance, HR and marketing, with emphasis on ATS operations and...
- Wise is seeking a Lead Compliance Manager to provide senior regulatory leadership for North America Assets, including Wise US Assets Inc. and Wise Assets Canada Inc. The role requires deep broker-dealer knowledge and independent operation within a fast-paced product-led...
$130k - $180k
...will also be considered. 2-6 years of experience in financial services, fintech, or with a regulatory agency. Familiarity with broker-dealer regulations and rules from the SEC, CFTC, FINRA, or other relevant regulatory bodies. Prior experience reviewing trading activity...Full timeRemote work$170k - $190k
Broker Dealer Regulatory Reporting QA - Vice President Broker Dealer Regulatory Reporting QA -... ...,000 - $190,000 base + bonus Overview A leading global financial institution is seeking... ...across finance, operations, technology, and audit, while driving process improvements and...Full timeWork at officeRemote work- An international broker dealer is seeking an experienced Corporate Actions specialist to join their dynamic team. This role involves processing mandatory and voluntary corporate actions, managing stock loan trade reconciliations, and ensuring compliance with operational...
- ...Assistant General Counsel, Capital Markets, Broker-Dealer & FinTech About the Company Leading operator of financial markets for international securities Industry Financial Services Type Public Company Founded 1913 Employees 51-200 Categories...
Do you want to receive more vacancies?
Subscribe and receive similar vacancies to AML & Broker-Dealer Audit Lead. Be the first to apply!
