- Capital One (Mclean, VA)
- Center 2 (19050), 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
- US Bank (Charlotte, NC)
- …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
- CIBC (New York, NY)
- …US Capital Markets Compliance is primarily accountable for: + Overseeing CIBC's US broker - dealer compliance program, which entails playing a lead role in ... second line oversight to the US Capital Markets, US Commercial Banking and Wealth Management lines of business. US...a modern world. **What You'll Be Doing** The US Broker - Dealer Chief Compliance Officer (USBD… 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 (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 ... 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
- Scotiabank (New York, NY)
- …annual planning for broker -dealers, and assist in successfully executing broker - dealer -related audits, regulatory matters, and strategic initiatives. + Lead ... functions both regionally and globally to develop a stronger strategy for broker - dealer audit coverage. + Maintain effective relationships with stakeholders,… more
- Scotiabank (New York, NY)
- …organization with institutional trading & sales, investment banking, capital markets, institutional broker dealer and FCM/swap dealer businesses. + Advance ... Senior Analyst, Regulatory Obligations & Controls, US Compliance **Requisition ID:** 201761 **Salary Range:** 67,400.00 - 125,200.00 _Please note that the Salary… more
- SMBC (Jersey City, NJ)
- …LATAM representative offices, Grand Cayman branch, Brazilian banking subsidiary, US broker - dealer and registered swaps dealers, and certain non-banking leasing ... 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
- 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
- SMBC (New York, NY)
- …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
- 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 ... 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
- Wells Fargo (Charlotte, NC)
- …approval of processes completed by other team members + Partner with vendors, Broker Dealer Operations, Middle Offices, and other stakeholders to ensure accurate ... process, control, operational excellence + Work closely with Corporate Tax and Compliance to analyze complex matters and implement solutions + Support year-end… more
- TIAA (New York, NY)
- …in the United States. Business lines consists of Institutional Retirement, Wealth, Broker - Dealer , TC Funds, Life Insurance, Nuveen affiliates, and education ... in addition to CAMS designation Related Skills Adaptability, Automation, Commercial Acumen, Compliance Program Management, Critical Thinking, Detail-Oriented,… 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
- Citizens (Boston, MA)
- …markets, and Private Banking + Experience with OCC Reg 9, Volcker, FINRA, and broker dealer related activities + Experience managing flow of information across ... key business lines and departments with a focus on the wealth management, Commercial capital markets, and the Private Banking business areas. The Director role will… more