- 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 (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
- 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
- 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 (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
- BMO Financial Group (New York, NY)
- …reviews, Deal reports, risk assessments and attestations. **KEY ACCOUNTABILITIES** The Vice President , Investment Banking CMS will have responsibility for ... mitigate risk and support compliant revenue generating activities. The Vice President will act as a liaison...in a Compliance or Regulatory function covering a major Broker - Dealer . + 5-7 years of relevant experience… more
- 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
- 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
- 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