- Capital One (New York, NY)
- …Advisor Senior Manager The Compliance Advisor Senior Manager will report directly to the Commercial Broker Dealer Chief Compliance Officer. This role ... One Securities, Inc., KippsDeSanto & Co., TripleTree, LLC. (collectively " Commercial Broker Dealers" or "CBDs"). The Compliance...framework. The Compliance Advisor Senior Manager also assists the Broker Dealer CCO in keeping abreast of… more
- Siebert Williams Shank (New York, NY)
- Siebert Williams Shank & Co., LLC ("SWS" or the "Firm") (a FINRA-registered broker / dealer ) is seeking to add a knowledgeable, driven, intellectually curious and ... national leader in public finance investment banking, a named dealer on more than 50 commercial paper...sound regulatory capital base. We are a SEC-registered securities broker - dealer and member of the Financial Industry… 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,...years of regulatory and/or advisory compliance experience at a broker dealer . + A solid foundation in… 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,...and Skills** + Extensive Compliance Advisory experience at a broker dealer covering fixed income and/or fixed… more
- SMBC (New York, NY)
- …SMBC Nikko Securities America, Inc. (Nikko US) is an SEC-registered securities broker - dealer and member of the Financial Industry Regulatory Authority (FINRA) ... relationships in Asia, the Group offers a range of commercial and investment banking services to its corporate, institutional,...and Hong Kong. SMBC CM is an established derivatives dealer with a broad product portfolio focused on interest… 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 ... alignment with multiple business partners (eg, Marketing, Portfolio Review Department (PRD), Chief Data & Analytics Office (CDAO) to achieve FI aspirations. This… more
Locations:
New York,
Pennsylvania