- Capital One (New York, NY)
- … Compliance Advisor Senior Manager will report directly to the Commercial Broker Dealer Chief Compliance Officer. This role will support three ... KippsDeSanto & Co., TripleTree, LLC. (collectively " Commercial Broker Dealers" or "CBDs"). The Compliance Advisor... Compliance Advisor Senior Manager also assists the Broker Dealer CCO in keeping abreast of… more
- Siebert Williams Shank (New York, NY)
- …other regulatory licenses desired * At least 7 years working for a broker - dealer , with at least 5 years of compliance experience * Experience with fixed ... & Co., LLC ("SWS" or the "Firm") (a FINRA-registered broker / dealer ) is seeking to add a knowledgeable,...national leader in public finance investment banking, a named dealer on more than 50 commercial paper… more
- SMBC (New York, NY)
- …advisory function to the President and is responsible for overseeing the management of the broker dealer 's compliance risk and is represented by the Chief ... relationships in Asia, the Group offers a range of commercial and investment banking services to its corporate, institutional,...and Skills** + 7-10+ years of regulatory and/or advisory compliance experience at a broker dealer… more
- SMBC (New York, NY)
- …functions. + Provide compliance subject matter expertise for some bank, Swap dealer and Broker dealer regulations applicable to support functions (eg, ... relationships in Asia, the Group offers a range of commercial and investment banking services to its corporate, institutional,...compliance . This individual will be responsible for bank, broker - dealer and swap dealer regulatory… more
- SMBC (New York, NY)
- …as a regulatory advisory function and is responsible for overseeing the management of the broker dealer 's compliance risk, and is represented by the Chief ... relationships in Asia, the Group offers a range of commercial and investment banking services to its corporate, institutional,...+ Extensive Compliance Advisory experience at a broker dealer covering fixed income and/or fixed… more
- SMBC (New York, NY)
- …as a regulatory advisory function and is responsible for overseeing the management of the broker dealer 's compliance risk, and is represented by the Chief ... relationships in Asia, the Group offers a range of commercial and investment banking services to its corporate, institutional,...+ Extensive Compliance Advisory experience at a broker dealer . + Strong knowledge in US… more
- JPMorgan Chase (Jersey City, NJ)
- … advice, guidance, and regulatory support to the JP Morgan Wealth Management Compliance broker - dealer (JP Morgan Securities, LLC) offering + Take ... approach **Required qualifications, capabilities, and skills** + 5+ years previous experience in broker - dealer compliance + Knowledge of, or a demonstrated… more
- SMBC (Jersey City, NJ)
- …scope of this function will encompass SMBC Group's Americas Division, inclusive of US broker dealer and registered swap dealer ; SMBC Group's wholesale and ... relationships in Asia, the Group offers a range of commercial and investment banking services to its corporate, institutional,...focus of this role will be on the US broker dealer and US swap dealer… more
- PNC (Pittsburgh, PA)
- …performed remotely, at manager's discretion. Position Overview: The Capital Markets Finance - Broker Dealer Accounting group supports a high growth and strategic ... joining a team of finance professionals which includes individuals with CPAs and broker dealer licenses. PNCCM underwrites, deals, and trades in corporate… more
- Scotiabank (New York, NY)
- …and broker -dealers, and assist in successfully executing banking and broker - dealer -related audits, regulatory matters, and strategic initiatives. + Lead and ... both regionally and globally to develop a stronger strategy for banking/ broker - dealer audit coverage. + Maintain effective relationships with stakeholders… more
- SMBC (Jersey City, NJ)
- …It administers the SMBC Employee Investment Policy, arranges for the registration of broker - dealer personnel, and conducts compliance training. In addition, ... relationships in Asia, the Group offers a range of commercial and investment banking services to its corporate, institutional,... Department monitors the corporate banking, investment banking and broker dealer activities of SMBC Group and… more
- Citigroup (New York, NY)
- …requirements for swap dealers and security based swap dealers; + advising on US broker dealer regulations; + providing regular and succinct updates on regulatory ... knowledge of derivatives products and associated legal documentation. + Knowledge of broker dealer regulatory requirements is preferred. + Experience in… more
- Scotiabank (New York, NY)
- …an inclusive work environment. **What You'll Bring** + 5+ years of progressive banking/ broker - dealer experience in audit, risk, compliance , and/or capital ... , Risk Management, and IT to develop a stronger strategy for banking/ broker - dealer audit coverage. + Maintain effective relationships with stakeholders from… more
- City National Bank (San Francisco, CA)
- …Capital Markets activity is conducted under bank permissible activities, not under registered swap dealer or broker dealer activity. This role is responsible ... Manager will report into the Business Control Officer of Commercial Banking to manage and participate in the team...perform root cause analysis, distinguishing between various levels of compliance and other types of risk. * Prepare and… more
- Siebert Williams Shank (Chicago, IL)
- …investment-grade corporate debt, a national leader in public finance investment banking, a named dealer on more than 50 commercial paper programs, and a seasoned ... platform, and a sound regulatory capital base. We are a SEC-registered securities broker - dealer and member of the Financial Industry Regulatory Authority (FINRA)… more
- Bank of America (Charlotte, NC)
- …the GB&GM test execution organization that provide risk management covering the broker dealer supervision regulatory requirement. EIT has established itself as ... skilled subject matter expert in test script design and test execution for Compliance and Operational Risk. The Testing Manager IC, in collaboration with Testing… more
- SMBC (Charlotte, NC)
- …financial institutions. Based in New York City, we are an SEC registered Broker dealer that provides financial products and services to global institutional ... value of its relationships in Asia, the Group offers a range of commercial and investment banking services to its corporate, institutional, and municipal clients. It… more
- Vanguard (Malvern, PA)
- …etc. + Leads and develops Fixed Income sales strategies across the broker - dealer , registered investment advisor, and bank/asset management/insurance channels to ... for the enterprise. + Owns divisional measurement of short- and long-term commercial success; is responsible for ensuring FAS Leadership Team has appropriate… more
- SMBC (New York, NY)
- …to Fixed Income, Equities, Futures and Credit Derivatives + Functional knowledge of Broker / Dealer and Market Making related compliance and risk management ... value of its relationships in Asia, the Group offers a range of commercial and investment banking services to its corporate, institutional, and municipal clients. It… more
- Deloitte (Jersey City, NJ)
- …within the risk function at a bank, capital markets organization or broker - dealer , including execution and oversight processes, risk assessment, reporting, ... and recommendations and manage day-to-day stakeholder relationships + Demonstrate appropriate compliance and control of interest rate and liquidity risk + Implement… more