- SMBC (New York, NY)
- …This individual will be responsible for bank, broker - dealer and swap dealer regulatory compliance across support functions. The individual will be ... **Role Objectives** + Coordinate bank, broker - dealer , and swap dealer regulatory Compliance programs across SMBC's Americas Division for all support… more
- City National Bank (Los Angeles, CA)
- …Compliance Officer will work closely with the members of a team focusing on regulatory broker - dealer compliance issues with respect to monitoring ... Compliance Officer will report to a supervisor with the Wealth Management Broker / Dealer Compliance division. *The Responsibilities* * Assist the Wealth… more
- Tradeweb (New York, NY)
- …preventing, detecting and remediating regulatory issues. + Oversee the broker - dealer compliance program functions including implementation of written ... compliance program established to support the broker - dealer and will monitor and act upon regulatory...establish standards and implement procedures to ensure that the broker - dealer compliance program remains effective… more
- Siebert Williams Shank (New York, NY)
- …knowledge of and experience with FINRA, MSRB and SEC rules * Experience coordinating broker - dealer regulatory exams and responses Bonus Points if you: * ... regulatory capital base. We are a SEC-registered securities broker - dealer and member of the Financial Industry...At least 7 years working for a broker - dealer , with at least 5 years of compliance… more
- Citigroup (New York, NY)
- **Position Overview:** Citi's Global Broker - Dealer Legal Entity Treasury team is seeking a highly qualified AVP candidate to support Broker - Dealer ... and oversight requirements within the Treasury organization. **Team Description:** The Global Broker - Dealer Legal Entity Treasury team reports to the Global … more
- SMBC (New York, NY)
- …the Firm. **Qualifications and Skills** + 7-10+ years of regulatory and/or advisory compliance experience at a broker dealer . + A solid foundation in ... and is responsible for overseeing the management of the broker dealer 's compliance risk and...Nikko Securities Inc. **Role Objectives** + Assists in providing regulatory and compliance advice, identifying training needs,… more
- NatWest Markets (Stamford, CT)
- …Treasuries and Capital Markets business + Sound knowledge of broker dealer regulations, and securities products and compliance including knowledge of CFTC, ... Broker Dealer Testing, VP Stamford,United States...carrying out assurance reviews to identify potential breaches of Regulatory Obligations and Corporate Compliance policies. The… more
- Citigroup (Jersey City, NJ)
- …objective is to design and implement the AML risk management program for the US broker dealer and consumer wealth business lines, manage a team, utilize in-depth ... The Compliance Anti-Money Laundering (AML) Risk Management Director for US Retail Brokerage/ Broker - Dealer and Consumer Wealth is a senior management level… more
- M&T Bank (Clanton, AL)
- …institutions. Assist in oversight of Wealth, Institutional Client Services and Institutional Broker dealer testing for state, federal, domestic and possibly ... **Overview:** The Compliance Testing Advisor is responsible for the managing,...all staff. + Maintain a comprehensive working knowledge of regulatory requirements to ensure an appropriate level of testing.… more
- Huntington National Bank (Columbus, OH)
- Description Summary: The Huntington Securities, Inc. (HSI) Broker Dealer Operations Analyst II is responsible for supporting institutional broker dealer ... In this dynamic team environment, you will maintain detailed knowledge of broker dealer operations and organizational policies and procedures. Additionally, you… more
- Charles Schwab (Westlake, TX)
- …financial services-related audit experience with growing responsibility. Corporate, Broker Dealer , Bank Operations, or Regulatory Compliance experience ... management, and human resources. Risk Management audits cover areas such as compliance , credit, liquidity, interest rates, and operational risk management. The team… more
- NatWest Markets (Stamford, CT)
- Senior Monitoring and Testing Compliance Assurance Officer - Swap Dealer Stamford,United States Permanent Full Time \#R-00244248 Share: ... (https://jobs.natwestgroup.com/jobs/15076523-senior-monitoring-and-testing- compliance -assurance-officer-swap- dealer /apply?tm\_src=0) Our people work differently depending on their jobs… more
- Liberty Bank (Middletown, CT)
- …of CRM notes and quality, and will serve as key liaison with broker - dealer on compliance , trading-issues and regulatory matters in partnership with the ... Director. The incumbent needs to be familiar with the broker - dealer 's compliance manual and on-going...- dealer 's compliance manual and on-going compliance and regulatory updates, and to communicate… more
- SMBC (New York, NY)
- …discipline to follow up on issues until resolved. + 10+ years of regulatory compliance experience at a broker dealer . BA/BS required. Series 7, 24, 79 ... of benefits to its employees. **Role Description** The Advisory Compliance team serves as a regulatory advisory...and is responsible for overseeing the management of the broker dealer 's compliance risk, and… more
- SMBC (New York, NY)
- …Must be well organized with project management skills. + 10+ years of regulatory compliance experience at a broker dealer . BA/BS required. Series 7, 24, ... and is responsible for overseeing the management of the broker dealer 's compliance risk, and...including Primary Dealer . + Provides advice on regulatory and compliance requirements to business unit… more
- Citigroup (New York, NY)
- …Strong knowledge of derivatives products and associated legal documentation. + Knowledge of broker dealer regulatory requirements is preferred. + Experience ... that supports Citi business lines, legal entity management teams, Compliance , and Regulatory Engagement teams. The group...and security based swap dealers; + advising on US broker dealer regulations; + providing regular and… more
- Truist (Atlanta, GA)
- …with the Enterprise Compliance Management Policy and Framework for the Institutional Broker Dealer . **LOCATION:** **We are currently in the office 3 days, ... or existing laws, rules and regulations for an Institutional Broker Dealer that are complex and multifaceted...experience in compliance 4. Demonstrated experience with regulatory agencies, requirements, and/or regulatory compliance… more
- Citigroup (New York, NY)
- The role is in the Broker Dealer Regulatory Reporting Department, which is responsible for ensuring the capital adequacy of all of Citi's US broker ... FOCUS reports for each and ensuring that the primary broker dealer , Citigroup Global Markets Inc. is...examinations and inquiries (FINRA, SEC, CME) of the US broker dealers. The role's responsibilities include: Ensuring compliance… 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 the ... compliance oversight of the business and expertise on regulatory compliance matters. **Job Responsibilities** + Partner...capabilities, and skills** + 5+ years previous experience in broker - dealer compliance + Knowledge of,… more
- Capital One (New York, NY)
- …Manager The Compliance Advisor Senior Manager will report directly to the Commercial Broker Dealer Chief Compliance Officer. This role will support three ... Compliance Advisor Senior Manager also assists the Broker Dealer CCO in keeping abreast of...abreast of new and updated financial industry laws and regulatory requirements (eg, FINRA, SEC). The Compliance … more
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