- 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… more
- SMBC (New York, NY)
- …all support functions. + Provide compliance subject matter expertise for some bank, Swap dealer and Broker dealer regulations applicable to support functions ... communications. + Experience working for a non-U.S. bank / broker dealer is highly desirable. + Familiarity...dealer is highly desirable. + Familiarity with US legal and regulatory requirements applicable to non-U.S. financial institutions… more
- Citigroup (New York, NY)
- …alongside others responsible for providing support on oversight and governance of the US broker - dealer chain legal entities. This role reports into the Chief ... of the Legal Entity Governance team supporting the following US Legal Entities: Citigroup Global Markets Holdings Inc., Citigroup Financial Products Inc.,… more
- Morgan Stanley (New York, NY)
- …Group (ISG) segment > Serve as the primary Treasury liaison with internal broker - dealer leadership teams and external regulators (SEC, FINRA, CFTC, NFA) on ... and creditors. About us: Morgan Stanley is a leading global financial services firm providing a wide range of...our work environment and culture You will: > Assume Legal Entity Treasurer role for several of the firm's… more
- SMBC (New York, NY)
- …regulatory advisory function and is responsible for overseeing the management of the broker dealer 's compliance risk, and is represented by the Chief Compliance ... requirements and other ad hoc investigations. + Work with Global Advisory team and other legal entities...and Skills** + Extensive Compliance Advisory experience at a broker dealer covering fixed income and/or fixed… more
- SMBC (New York, NY)
- …regulatory advisory function and is responsible for overseeing the management of the broker dealer 's compliance risk, and is represented by the Chief Compliance ... requirements and other ad hoc investigations. + Work with Global Advisory team and other legal entities...Core Competencies/Skills: + Extensive Compliance Advisory experience at a broker dealer . + Strong knowledge in US… 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 lead on ... for the Retail Non-Deposit Investment Products (RNDIP) program for the consumer bank/ broker - dealer to facilitate a consistent and cohesive approach **Required… more
- Citigroup (New York, NY)
- …of derivatives products and associated legal documentation. + Knowledge of broker dealer regulatory requirements is preferred. + Experience in transactional ... The Regulatory Advisory and Transformation legal group is a global team...and security based swap dealers; + advising on US broker dealer regulations; + providing regular and… more
- Citigroup (New York, NY)
- …preparing and filing the monthly FOCUS reports for each and ensuring that the primary broker dealer , Citigroup Global Markets Inc. is compliant with the ... The role is in the Broker Dealer Regulatory Reporting Department, which...data, including by preparing and recording financial transactions for legal vehicle and regulatory reporting purposes, updating the general… 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 ... SMBC Group is a top-tier global financial group. Headquartered in Tokyo and with...focus of this role will be on the US broker dealer and US swap dealer… more
- TD Bank (New York, NY)
- …other products, primarily fixed income + Advising on swap dealer , security-based swap dealer and broker dealer requirements + Research and provide advice ... New York, New York, United States of America **Hours:** 40 **Line of Business:** Legal **Pay Detail:** $180,000 - $205,000 USD TD is committed to providing fair and… more
- US Bank (New York, NY)
- …Inc., a registered broker - dealer . The candidate must ensure that the broker - dealer is adequately protected against legal , risk, and other operational ... seeking an experienced paralegal to join the Capital Markets Legal Team to support the Global Capital...Capital Markets Legal Team to support the Global Capital Markets group within US Bank's Wealth, Corporate,… more
- SMBC (Jersey City, NJ)
- …Description** The SMBC Compliance Department monitors the corporate banking, investment banking and broker dealer activities of SMBC Group and reports on the ... SMBC Group is a top-tier global financial group. Headquartered in Tokyo and with...SMBC Employee Investment Policy, arranges for the registration of broker - dealer personnel, and conducts compliance training. In… more
- Morgan Stanley (New York, NY)
- …open trading floor environment * 1-2 years experience negotiating trading agreements at broker / dealer , buy-side firm and/or law firm * JD required *_Vice ... and employees. The Institutional Equity Division (IED) is a global leader in the origination, distribution and trading of...environment * 4 years experience negotiating trading agreements at broker / dealer , buy-side firm and/or law firm *… 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) ... SMBC Group is a top-tier global financial group. Headquartered in Tokyo and with...and Hong Kong. SMBC CM is an established derivatives dealer with a broad product portfolio focused on interest… more
- Mizuho Corporate Bank (New York, NY)
- …and assumption development within Capital Markets Treasury. Capital Markets Treasury includes a broker dealer , swap dealer , derivative dealer , and ... insights for optimizing the balance sheet and liquidity across various legal entities and business units Qualifications + Professional Experience: strong background… more
- SMBC (New York, NY)
- …Security, Operations, Procurement, Third-Party Risk, Human Resources, Capital Markets, Nikko ( broker dealer ), and Corporate Services. In particular: + Serving ... SMBC Group is a top-tier global financial group. Headquartered in Tokyo and with...Sumitomo Mitsui Banking Corporation (SMBC) will work within the Legal Department, reporting to the Executive Director and Head… more
- Scotiabank (New York, NY)
- …years of compliance experience, including experience providing advisory support to a broker - dealer equities sales and trading business. + Knowledge of relevant ... driven winning team, committed to results, in an inclusive and high-performing culture. ** Global Banking and Markets** Global Banking and Markets (GBM) is a… more
- JPMorgan Chase (New York, NY)
- …+ Build and maintain relationships with investment bankers and analysts, the broker - dealer community, rating agencies, and legal professionals, among ... The Global Fixed Income, Currency and Commodities team (GFICC)...facilitates the comparison of ideas across sectors and geographies. Global Fixed Income, Currency and Commodities manages a broad… more
- Morgan Stanley (New York, NY)
- …origination or credit underwriting experience in a Private Banking or Broker - Dealer platform required. Formal credit training preferred. *Working knowledge ... Morgan Stanley is a global financial services leader with three core businesses...clients and prospects. * Partner with Lending Product Groups, Legal , WM Risk and Credit Risk Management ("CRM") to… more