- Capital One (Mclean, VA)
- Center 1 (19052), United States of America, McLean, Virginia Commercial Broker Dealer Compliance Advisor - Senior Manager The Compliance Advisor ... Senior Manager will report directly to the Commercial Broker Dealer Chief Compliance Officer. This role will support three institutional FINRA registered… more
- Capital One (New York, NY)
- …299 Park Avenue (22957), United States of America, New York, New York Commercial Broker Dealer Chief Compliance Officer - Sr. Director The Sr. Director ... will be the Commercial Broker Dealer Chief Compliance Officer ("BD CCO") for three institutional FINRA registered broker -dealers and provide … more
- Scotiabank (New York, NY)
- Director, SCUSA CCO, Head of Broker Dealer & Corporate Functions Compliance **Requisition ID:** 199204 **Salary Range:** 174,700.00 - 286,000.00 _Please note ... the Chief Compliance Officer for the US broker dealer and Head of Corporate Functions...range of advice, products and services, including personal and commercial banking, wealth management and private banking, corporate and… more
- JPMorgan Chase (Jersey City, NJ)
- …for our team. The VP role will have a primary focus for coverage of the US Broker - Dealer (s) Compliance program. As a Vice President you will join a team of ... and prepare the annual FINRA Compliance and Process Reports for the broker - dealer entities. + Provide guidance and technical expertise that supports the… more
- US Bank (Chicago, IL)
- …in the following areas: * Wealth Management laws and regulations (eg, Broker Dealer , Trust Services, Wealth Management, Securities and Exchange Commission ... Wealth Operations, Private Banking) * Capital Market laws and regulations (eg, Broker Dealer , Trust Services, Wealth Management, SEC Regulations, FINRA… 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 ... relationships in Asia, the Group offers a range of commercial and investment banking services to its corporate, institutional,...+ Extensive Compliance Advisory experience at a broker dealer . + Strong knowledge in US… more
- Scotiabank (New York, NY)
- …should involve compliance testing or audit. + Experience/background in compliance applicable to broker - dealer internal inspections, institutional trading ... Manager, Compliance Testing **Requisition ID:** 200276 **Salary Range:** 85,700.00...banking, investment management, and corporate functions within investment or commercial bank or institutional broker - dealer … more
- SMBC (New York, NY)
- …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 ... relationships in Asia, the Group offers a range of commercial and investment banking services to its corporate, institutional,...focus of this role will be on the US broker dealer and US swap dealer… more
- Scotiabank (New York, NY)
- …examinations. + Experience/background in compliance applicable to broker - dealer , institutional trading & sales, investment banking, commercial banking, ... Senior Manager, Compliance Testing **Requisition ID:** 200274 **Salary Range:** 110,700.00...investment management, and corporate functions within investment or commercial bank or institutional broker - dealer … 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 ... relationships in Asia, the Group offers a range of commercial and investment banking services to its corporate, institutional,...management skills + 10+ years of regulatory and/or advisory compliance experience at a broker dealer… more
- SMBC (New York, NY)
- …in-depth understanding of business processes in at least three of the following: commercial banking; broker - dealer sales and trading; financial and ... internal controls in key technology risk areas to ensure compliance with internal policies, laws and regulations, and regulatory...business processes in at least three of the following: commercial banking; broker - dealer sales and… more
- AutoNation, Inc. (Golden, CO)
- …fleet, manager, at&t, telemarketer, telemarketing, t mobile, kuni, public relations, broker , finance, financial advisor, retail, truck, trucks, commercial , job ... options and products Process finance transactions and ensure 100% compliance with all state and federal laws and regulations...for AutoNation? You want to work for a car dealer that has a strong moral compass and treats… 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 ... finance. + Review, negotiate and draft a range of transactional and commercial contracts such as engagement and commitment letters, advisory agreements (including… more
- City National Bank (Los Angeles, CA)
- …Capital Markets activity is conducted under bank permissible activities, not under registered swap dealer or broker dealer activity. This role is responsible ... Manager will report into the Business Control Officer of Commercial Banking to manage and participate in the team...perform root cause analysis, distinguishing between various levels of compliance and other types of risk. + Prepare and… more
- SMBC (Charlotte, NC)
- …financial institutions. Based in New York City, we are an SEC registered Broker dealer that provides financial products and services to global institutional ... value of its relationships in Asia, the Group offers a range of commercial and investment banking services to its corporate, institutional, and municipal clients. It… more
- Scotiabank (New York, NY)
- …multiple stakeholders in business/trading, operations, and risk conversations. + Knowledge of compliance and controls for broker dealer and derivatives/swap ... (Front Office) to ensure all activities conducted by the business are in compliance with governing regulations, internal policies and procedures. As 1st Line of… more
- Citizens (Johnston, RI)
- …related to marketing materials to Marketing and Business Line partners including broker dealer marketing and advertising materials. + Assist with determining ... new risk strategies and provide suggestion for remediation. You will work closely with Compliance and Legal partners to ensure that the business line is up to date… more
- JPMorgan Chase (New York, NY)
- …and services in the United States would be a strong advantage, eg, broker - dealer regulations and privacy regulations. + Creative problem-solving skills; an ... regulators, working with Global Share management and other functions such as Compliance as required; + Help to monitor relevant legislation and regulations affecting… more
- CIBC (New York, NY)
- …the Securities Act, the Exchange Act, FINRA and CFTC rules and regulations, broker - dealer regulations, and Dodd-Frank Title VII provisions as applied to swaps ... with multiple stakeholders within the firm (risk, tax, accounting, compliance , etc.) as well as with the primary business...Legal risk management are being conducted in accordance with commercial objectives of the business and CIBC risk tolerance.… more
- Deloitte (Jersey City, NJ)
- …within the risk function at a bank, capital markets organization or broker - dealer , including execution and oversight processes, risk assessment, reporting, ... and recommendations and manage day-to-day stakeholder relationships + Demonstrate appropriate compliance and control of interest rate and liquidity risk + Implement… more