- SMBC (Jersey City, NJ)
- …technical regulatory capital issues involving our New York Branch, Bank Holding Company, broker - dealer and other affiliates. This is a hybrid role, with current ... to various stakeholders on issues and questions related to regulatory capital, broker - dealer and capital management, as well as liquidity reports such as the… more
- Principal Financial Group (Cincinnati, OH)
- …in growing advisor relationships. Accountable for achieving sales targets and managing broker dealer relationships within all channels covering our ETF's, ... growing market share. + May provide input on marketing, product development, shareholder/ broker communications and integration of campaigns with broker dealers… more
- Principal Financial Group (Phoenix, AZ)
- …in growing advisor relationships. Accountable for achieving sales targets and managing broker dealer relationships within all channels covering our ETF's, ... growing market share + May provide input on marketing, product development, shareholder/ broker communications and integration of campaigns with broker dealers… more
- HSBC (New York, NY)
- …in a finance or business related field + Experience in a bank or broker - dealer , covering fixed income and/or foreign exchange markets, or comparable experience. ... + Strong relationship management skills + Foundational / technical knowledge of trading markets, including sales functions, operations, systems and technologies + Ability to demonstrate critical thinking and professional skepticism to identify and manage risk,… more
- Neuberger Berman (New York, NY)
- …for the firm **Requirements:** + 1 - 5 years of investment advisory or broker - dealer compliance experience + Bachelor's degree required + Experience with equity ... and fixed-income securities products preferred; familiarity of futures, commodities, currencies, and derivatives is a plus + Collaborative team player with a strong work ethic and high integrity + Excellent interpersonal and communication skills; able to… more
- SMBC (Jersey City, NJ)
- …as needed **Qualifications and Skills** + At least 15 years of institutional broker - dealer compliance experience, with a minimum of 10 years of managing ... a Registrations team. + Understanding of industry best practices to allow for benchmarking. + Deep knowledge of relevant FINRA, SEC, CFTC, NFA Rules and Regulations. + Active FINRA licenses is a plus. + Knowledge of Web CRD, Gateway, Form U4, U5, BD, BR and… more
- SMBC (Jersey City, NJ)
- …as required. **Qualifications and Skills** + At least 15 years of institutional broker - dealer compliance experience, with a minimum of 10 years of managing ... an outside business activities, private investments and political contributions program. + Strong knowledge of concepts and procedures for managing employee related conflicts of interest in the financial services industry. + Strong analytical skills, including… more
- SMBC (Jersey City, NJ)
- …+ Undergraduate degree required. + Approximately 1-3 years of relevant broker - dealer compliance and/or registrations experience, preferably within a financial ... services firm. + Understanding of vendor systems, knowledge of Web CRD, Gateway, Form U4, U5, BD, BR and reporting. + Proactive, self-starter that is comfortable in being part of developing new programs and enhancing existing programs. + Excellent written and… more
- Equitable (Charlotte, NC)
- Broker Dealer Outsourcing and Oversight Analyst (HYBRID or REMOTE) ( 250000NB ) **Primary Location** : UNITED STATES-NC-Charlotte **Other Locations** : UNITED ... help unlock your potential? We are seeking a highly skilled and detail-oriented Broker Dealer Outsourcing and Oversight Analyst to join our team. This role is… more
- Capital One (New York, NY)
- Trade Surveillance Manager ( Broker - Dealer & Swap Dealer ) **About the Role** We are seeking a highly skilled Trade Surveillance Manager to lead and enhance ... the firm's surveillance program across both its institutional Broker - Dealer (BD) and Swap Dealer (SD) businesses. This individual will oversee day-to-day… more
- SMBC (New York, NY)
- …time as business is conducted and transactions are executed. **Role Objectives** The Broker Dealer Regulatory Governance Advisory Team within the CPAD Advisory ... organized with project management skills. + Regulatory compliance experience at a broker dealer and or swap dealer preferred. BA/BS required. JD Preferred.… more
- Coinbase (Madison, WI)
- …will provide critical support to Coinbase Capital Markets ("CCM" a FINRA member broker - dealer ) in meeting its regulatory obligations to assist the Product team ... you (ie. job requirements):* * 7+ years experience working in a retail broker - dealer compliance team. * Comfortable working in a fast-paced environment with high… more
- SMBC (New York, NY)
- …function to the President and is responsible for overseeing the management of the broker dealer 's compliance risk and is represented by the Chief Compliance ... + 4-7 years of regulatory and/or advisory compliance experience at a broker dealer . + A solid foundation in US securities laws and regulations and… more
- Capital One (New York, NY)
- Associate Broker Dealer Risk Specialist **The Associate Risk Specialists supporting Capital One's Commercial Broker Dealers are highly motivated Risk ... **Preferred Qualifications:** + **4+ years of experience within a broker dealer registration and licensing function or similar compliance experience** +… more
- Insight Global (New York, NY)
- …$68/hr, this role serves as a senior regulatory and risk partner to Broker ‑ Dealer Compliance leadership and the businesses they support, translating regulatory ... as: ○ Sophisticated proprietary trading firms (eg, Jane Street) ○ Full‑service broker ‑dealers, particularly smaller or mid‑sized firms that do full-service ○ Big… more
- Guardian Life (New York, NY)
- The Broker Dealer Operations Specialist plays a central role in delivering world‑class customer and transaction servicing for alternative investment products. ... The role supports end‑to‑end operations from onboarding through transactions, reconciliation, and servicing requests. **You are** + A consummate professional with excellent verbal and written communication skills + Self-motivated and goal-oriented + Patient,… more
- JPMorgan Chase (Columbus, OH)
- …+ Develop strong relationships with top-tier clients and prospects through consultative, proactive phone conversations that deliver the JPMAM value proposition. + ... JPMorgan Asset Management (JPMAM) helps institutional and individual clients from around the globe meet their financial goals by providing industry-leading investment solutions. Our wide array of financial strategies-equity, fixed income, cash management,… more
- Regions Bank (Atlanta, GA)
- …and experience for job opportunities and will not be used for marketing purposes, sold, or shared outside of Regions unless required by law. Such information will be ... Thank you for your interest in a career at Regions. At Regions, we believe associates deserve more than just a job. We believe in offering performance-driven individuals a place where they can build a career a place to expect more opportunities. If you are… more
- JPMorgan Chase (Jersey City, NJ)
- …Risk Management as well as regulatory or audit best practices relating to US Broker Dealer regulations, rules, and laws. CCOR provides independent oversight of ... and skills** + Bachelor's degree required and 3+ years of experience supporting a US broker dealer or front office business within a US broker dealer . +… more
- TD Bank (New York, NY)
- …Chief Financial Officer for TD Securities USA and focuses on the reporting of the Broker Dealer . The Head of Finance is responsible for understanding of the ... & Scope:** + Oversees and is responsible for regulatory reporting for the Broker Dealer (FOCUS, 15c3-3. daily net capital etc) and the non-Bank FRB reporting… more
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