• Compliance Risk Assessment

    SMBC (Jersey City, NJ)
    …legal entities they cover (primarily non-U.S. entities). The role requires leading workshops with 1st line of defense ("1LOD") and Compliance and other 2nd line ... US Broker Dealer and registered swap dealer; SMBC Group's wholesale and retail banking operations; US and LATAM representative offices; Grand Cayman Branch; Canada… more
    SMBC (02/13/25)
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  • Head of Intermediary Business Enablement…

    Neuberger Berman (New York, NY)
    …our culture and have enabled us to be recognized by _Pensions & Investments_ as the first or second "Best Place to Work in Money Management" for last eight ... will be responsible for overseeing all aspects of our Intermediary (ie, bank , RIA, wire-house, etc) channel operations, client experience, data management, and… more
    Neuberger Berman (03/04/25)
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