• Broker Dealer Advisory

    NatWest Markets (Stamford, CT)
    Broker Dealer Advisory - VP Stamford,United States Permanent Full Time \#R-00246157 Our people work differently depending on their jobs and needs. From ... the department and the business._ **Job Description** The Compliance Advisory Officer reporting to the Compliance Advisory ...team andcross-functionally. The ideal candidate will have experience with broker - dealer and swap dealer rules… more
    NatWest Markets (01/04/25)
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  • US Operations Oversight & Advisory

    NatWest Markets (Stamford, CT)
    US Operations Oversight & Advisory , Vice President Stamford,United States Permanent Full Time \#R-00252575 Our people work differently depending on their ... functions / flow. + Direct understanding of US regulatory requirements specific to Broker Dealer Operations. + Individual must be self-motivated who is willing… more
    NatWest Markets (03/11/25)
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  • Senior Accountant Policy Specialist - Vice

    SMBC (Jersey City, NJ)
    …portfolio of benefits to its employees. **Role Description** SMBC is seeking a Vice President , Accounting Policy Specialist. The Vice President ... Americas Holdings, Inc. and its US subsidiaries (including a broker dealer , lessor entities, swap dealer...and a half years of public accounting experience (accounting advisory or on call experience is preferred) and expertise… more
    SMBC (01/15/25)
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  • Vice President - Compliance,…

    TD Bank (New York, NY)
    …partners and groups. + 6 or more years of experience with a registered US broker dealer or regulator. + Knowledge of wholesale banking products and services, ... Assessment ratings. + Partner closely with the Risk Assessment and Compliance Markets Advisory teams, as necessary, to create a cohesive pipeline between the Risk… more
    TD Bank (03/05/25)
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  • Vice President - Compliance Risk…

    TD Bank (New York, NY)
    …partners and groups. + 6 or more years of experience with a registered US broker dealer or regulator. + Knowledge of wholesale banking products and services, ... Firm's control mapping to applicable rules. + Partner closely with the Compliance Advisory team for the Risk Assessment and other efforts. + Support technology and… more
    TD Bank (03/04/25)
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  • VP , Capital Markets Supervision

    BMO Financial Group (New York, NY)
    …& sales activities and applicable regulations surrounding them. + Knowledge of the Broker Dealer and Banking Regulations, which include but not limited to ... and investment banking, treasury management, as well as research and advisory services to clients around the world. #bmocapitalmarkets **MANDATE** Capital Markets… more
    BMO Financial Group (03/13/25)
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  • Compliance Risk Assessment

    SMBC (Jersey City, NJ)
    …portfolio of benefits to its employees. **Role Description** SMBC Group is seeking a Vice President for the Compliance Risk Assessment team ("CRA team") within ... and Control Assessment. As a Compliance Risk Assessment ("CRA") Vice President , this role will assist in...will encompass SMBC Group's Americas Division, inclusive of US Broker Dealer and registered swap dealer more
    SMBC (02/13/25)
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  • Internal Audit - Compliance

    Mizuho Corporate Bank (New York, NY)
    …designed to add value and improve Mizuho Bank's US operations including derivative activities, broker dealer and swap dealer businesses. Based in the New ... Internal Audit seeks a candidate to fill an Assistant Vice President role for the Compliance area....of Greenhill​, Mizuho provides M&A, restructuring and private capital advisory capabilities across Americas, Europe and Asia. Mizuho Americas… more
    Mizuho Corporate Bank (02/21/25)
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