- Siebert Williams Shank (New York, NY)
- …Williams Shank & Co., LLC ("SWS" or the "Firm") (a FINRA-registered broker / dealer ) is seeking to add a motivated compliance professional to assist the ... 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 ... more
- Scotiabank (New York, NY)
- …should involve compliance testing or audit. + Experience/background in compliance applicable to broker - dealer internal inspections, institutional trading ... 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 ... more
- SMBC (Jersey City, NJ)
- …Degree and/or Certifications (ie FINRA Series 7,63, 24) are desired + Has a Compliance Testing, Broker Dealer Regulatory or Internal Audit Background + ... more
- CIBC (New York, NY)
- …registered investment advisor, + OCC regulated trust company, + SEC registered/FINRA member Broker Dealer , + FDIC insured depository institution regulated by the ... more
- First Horizon Bank (Memphis, TN)
- …+ Bachelors Degree in Accounting, Finance or Business + Minimum 5 yrs. experience in broker - dealer Compliance or equivalent in legal, compliance or audit ... more
- JPMorgan Chase (Jersey City, NJ)
- …in financial services industry + Exposure to capital planning (CCAR), broker - dealer and bank regulatory reporting, and Treasury/liquidity reporting processes ... more
- Scotiabank (New York, NY)
- …Supplemental Reporting, FR Y-15, and other Fed reports. + Assist the Broker Dealer Regulatory Reporting team in ensuring compliance with Broker Dealer ... more
- Scotiabank (New York, NY)
- …of compliance experience, including experience providing advisory support to a broker - dealer equities sales and trading business. + Knowledge of relevant SEC ... more
- JPMorgan Chase (Plano, TX)
- JPMorgan Securities LLC (JPMS LLC) is a licensed broker - dealer and investment adviser registered with the SEC and FINRA. It is also a Municipal Securities ... more
- Citigroup (New York, NY)
- …in transactional work, including cross-border experience is preferred. + Knowledge of broker dealer regulatory requirements is desirable + Experience working in ... more
- T. Rowe Price (Baltimore, MD)
- …independent credit analysis and due diligence on new and existing bank and broker / dealer counterparties used for trade execution by the firm's Global Trading ... more
- SMBC (New York, NY)
- …certifications (eg, FINRA licenses, CRCM) preferred. + 10+ years of regulatory compliance experience within broker -dealers or financial institutions. + Proven ... more
- Siebert Williams Shank (Washington, DC)
- …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 ... more
- SMBC (Jersey City, NJ)
- …financial institutions. Based in New York City, we are an SEC registered Broker dealer that provides financial products and services to global institutional ... more
- TD Bank (Marlton, NJ)
- …seq., and its implementing regulations, 12 CFR Part 1007; and is with a FINRA member, broker or dealer and is subject to the requirements of FINRA and Securities ... more
- JPMorgan Chase (Columbus, OH)
- …organization with demonstrated insurance experience. + Experience in insurance and broker - dealer matters, including knowledge of state insurance laws and ... more
- Umpqua Bank (Vancouver, WA)
- …and loyalty through excellent service. + Other responsibilities as assigned. + Demonstrates compliance with all bank and broker / dealer regulations for ... more
- JPMorgan Chase (Jersey City, NJ)
- …requirements (eg, 12 CFR 9) related to asset management, investment advisor, broker - dealer and fiduciary activities. + Knowledge of various financial ... more
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