- 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
- MUFG (New York, NY)
- …practices. + Work closely with Global colleagues and US counterparts to ensure that Broker Dealer are aligned with peer broker dealer practices and ... provide more details. **Job Summary:** The US and Canada Broker Dealer Treasury team is part of...The AVP will partner extensively with Treasury, Finance, Operations, Legal and Business colleagues, in close collaboration with other… 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
- 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
- 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
- JPMorgan Chase (New York, NY)
- …self-regulatory organization with demonstrated financial services experience. + Experience in broker - dealer matters, including knowledge of federal and state ... By joining the US Wealth Management Legal Department and supporting its associated functions, you...firm, and advises the firm on other matters. Our global team is made up of 2,000 lawyers and… more
- TD Bank (New York, NY)
- …group and serves as a crucial safeguard against financial Crimes within our Wealth and Broker Dealer groups. The Senior Manager should be well-versed in AML laws ... the AML/ATF/Sanctions/ABAC compliance programs for covered TD businesses and legal entities, including managing critical program initiatives and handling… 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
- TD Bank (New York, NY)
- …accordance with Firm policy and regulatory requirements. TD has been growing its US Broker Dealer activities over the last few years both organically and through ... Overview:** Regulatory and Supervisory Management proactively supports TD Securities' Global Markets businesses to achieve sustainable strategies, supervision, operating… 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
- 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
- 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