- Capital One (New York, NY)
- Associate Broker Dealer Risk Specialist **The Associate Risk Specialists supporting Capital One's Commercial Broker Dealers are highly ... risks to the Company using various compliance surveillance tools and methods. The Associate Risk Specialist's primary responsibilities will be to provide support… 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 ... New Product, Underwriting, Risk Management, Compliance, IT Risk and Training committees. The Compliance Advisory Associate...years of regulatory and/or advisory compliance experience at a broker dealer . + A solid foundation in… more
- SMBC (New York, NY)
- …in preparing high quality materials for Risk Committees (Tier 1 and 2), Swap Dealer and Broker Dealer oversight forums - Help review policies, procedures ... portfolio of benefits to its employees. **Role Description** The Associate (ASC) in the Americas Market Risk ...in risk management, counterparty risk , risk governance, broker - dealer risk… more
- SMBC (New York, NY)
- …role within the Financial Institutions Group will be responsible for Banks and Broker Dealer client coverage, including all aspects of client development, new ... the origination and execution of transactions with Banks and Broker Dealer clients + Work closely across... clients + Knowledge of general elements of credit risk as well as legal/compliance related to Bank and… more
- TD Bank (New York, NY)
- …but not required + 5 or more years of experience with a registered US broker dealer , swap dealer , Global Systematically Important Bank (GSIB), or associated ... and coordinating the Compliance Oversight program over first line Risk Owner (RO) activities contributing to the overall Compliance...or more years of experience with a registered US broker dealer or regulator. + JD desirable… more
- Mizuho Corporate Bank (New York, NY)
- … capital calculations for all Mizuho Americas businesses and products (banking, broker - dealer and derivatives trading) under Basel III + Conduct quantitative ... for a dynamic and skilled individual to spearhead the credit and market risk calculations, review and interpret new regulatory rules, partner with business to… more
- Ankura (New York, NY)
- …commercial lending, mortgage lending, consumer collections agencies and securities/brokerage [ broker dealer , registered investment advisor, exempt registered ... licensed US money transmitters. We are seeking a Senior Associate , Licensing Acquisition, to join the team. Ideally this...rapidly, able to recognize and escalate technical client or risk issues to project lead; + At ease multi-tasking… more
- Ankura (New York, NY)
- …commercial lending, mortgage lending, consumer collections agencies and securities/brokerage [ broker dealer , registered investment advisor, exempt registered ... abreast of regulatory changes. We are seeking a Senior Associate , License Maintenance, to join the team. Ideally this...rapidly, able to recognize and escalate technical client or risk issues to project lead; + At ease multi-tasking… more
- JPMorgan Chase (New York, NY)
- …and services are offered through JP Morgan Securities LLC (JPMS), a registered broker - dealer and investment advisor, member of FINRA and SIPC. Annuities are ... investment solutions to meet their financial needs. As a Private Client Investment Associate in JP Morgan Wealth Management, you will be tasked with delivering… more
- TIAA (New York, NY)
- …brokerage as well as product development and management. + Experience in wealth and broker / dealer risk management. + Experience working closely with legal, ... CIO team is seeking an experienced Sr. Director of Operations, Execution, and Risk . This person would ensure that investment and business processes are efficient,… more