- Siebert Williams Shank (New York, NY)
- …other regulatory licenses desired * At least 7 years working for a broker - dealer , with at least 5 years of compliance experience * Experience with fixed ... & Co., LLC ("SWS" or the "Firm") (a FINRA-registered broker / dealer ) is seeking to add a knowledgeable,... professional to the team led by the Chief Compliance Officer . The selected candidates will be… more
- Capital One (New York, NY)
- … Advisor Senior Manager will report directly to the Commercial Broker Dealer Chief Compliance Officer . This role will support three institutional ... Senior Manager will work independently from the CBD Chief Compliance Officer to interact with and advise... Compliance Advisor Senior Manager also assists the Broker Dealer CCO in keeping abreast of… more
- SMBC (New York, NY)
- …advisory function to the President and is responsible for overseeing the management of the broker dealer 's compliance risk and is represented by the Chief ... Compliance Officer as either a member or observer of various...and Skills** + 7-10+ years of regulatory and/or advisory compliance experience at a broker dealer… more
- SMBC (New York, NY)
- …as a regulatory advisory function and is responsible for overseeing the management of the broker dealer 's compliance risk, and is represented by the Chief ... Compliance Officer as either a member or observer of various...+ Extensive Compliance Advisory experience at a broker dealer . + Strong knowledge in US… more
- SMBC (New York, NY)
- …as a regulatory advisory function and is responsible for overseeing the management of the broker dealer 's compliance risk, and is represented by the Chief ... Compliance Officer as either a member or observer of various...+ Extensive Compliance Advisory experience at a broker dealer covering fixed income and/or fixed… 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 seeking a Vice President for the Compliance Risk Assessment team ("CRA team") within the ...focus of this role will be on the US broker dealer and US swap dealer… more
- City National Bank (New York, NY)
- * COMPLIANCE OFFICER SENIOR* WHAT IS THE OPPORTUNITY? The Senior Compliance Officer within the Fair and Responsible Banking Department is responsible for ... managing and maintaining assigned areas of the compliance program covering Fair and Responsible Banking including monitoring...roles, experience with a financial institution such as a broker / dealer and/or registered investment adviser. * For… more
- Marex (New York, NY)
- …(http://www.marex.com/) (http://www.marex.com/) (http://www.marex.com/) Purpose of Role: The Executive Compliance Officer - Solutions Advisory position will ... + At least 10 years of securities advisory experience. Knowledge of broker - dealer activities and requirements. + Strong knowledge of applicable securities… more
- Morgan Stanley (New York, NY)
- …and apply judgment to resolve issues in a timely manner > Knowledge of broker - dealer regulatory compliance , including SEC, FINRA and other SRO rules ... sponsored benefit programs. **Job:** ** Compliance * **Title:** *Equity Sales & Compliance Officer * **Location:** *New York-New York* **Requisition ID:**… more
- SMBC (New York, NY)
- …to Fixed Income, Equities, Futures and Credit Derivatives + Functional knowledge of Broker / Dealer and Market Making related compliance and risk management ... Summary** The Nikko Securities America, Inc. middle/back office Business Control Officer is a business-aligned change agent and risk management individual… more
- Neuberger Berman (New York, NY)
- …24 (or 9/10) licenses required. + 3-5 years of investment advisory or broker - dealer experience, ideally with background in supervisory principal activities. + ... focus on identification, mitigation and resolution of alerts related to IPS Compliance (including but not limited to deviation from asset allocation/risk profiles,… more
- Scotiabank (New York, NY)
- …and broker -dealers, and assist in successfully executing banking and broker - dealer -related audits, regulatory matters, and strategic initiatives. + Lead and ... control under GAAP and IFRS. + Act primarily as Officer in Charge (OIC) for assigned projects, processes, and...regionally and globally to develop a stronger strategy for banking/ broker - dealer audit coverage. + Maintain effective relationships… more
- Ankura (New York, NY)
- …risk assessments, policies, procedures, internal controls, and systems processes; + Prepare compliance reports for Compliance Officer , Senior Management, ... companies, third-party payment processers, consumer collections agencies and securities/brokerage [ broker dealer ] + Working knowledge/experience with virtual… more
- HSBC (New York, NY)
- …locally by containing compliance risk in liaison with the Head of Group Compliance , Global Business Compliance Officer , Area Compliance Officer ... e-mails, faxes and correspondence + Conduct on-site audits of broker / dealer field locations to ensure all processes...Local Compliance Officer , ensuring adequate compliance resources and training, fostering a compliance … more
- US Bank (New York, NY)
- …or related field + FINRA licenses 7, 24, and 63 required; Series 14 ( Compliance Officer Exam) recommended + Knowledge and experience with various types of ... financial advisory teams across the US Bank footprint and managing the Bank's broker - dealer subsidiaries in areas such as strategy, risk management, … more
- Scotiabank (New York, NY)
- …an inclusive work environment. **What You'll Bring** + 5+ years of progressive banking/ broker - dealer experience in audit, risk, compliance , and/or capital ... , Risk Management, and IT to develop a stronger strategy for banking/ broker - dealer audit coverage. + Maintain effective relationships with stakeholders from… more
- City National Bank (New York, NY)
- …Capital Markets activity is conducted under bank permissible activities, not under registered swap dealer or broker dealer activity. This role is responsible ... Business Control Manager will report into the Business Control Officer of Commercial Banking to manage and participate in...perform root cause analysis, distinguishing between various levels of compliance and other types of risk. * Prepare and… more