- Fidelity Investments (Boston, MA)
- …skills, critical thinking and attention to detailYour knowledge of the broker dealer industryYour excellent verbal and written communication skillsYour ... a member of the dynamic and energetic risk team within Fidelity's Legal , Risk, and Compliance (LRC) organization supporting Enterprise Services. In particular, the… more
- Citigroup (Tampa, FL)
- …programs within assigned region for a component of a product line, function, or legal entity in accordance with Compliance Testing (CT) - Branch Examinations Plan. + ... issue validation activities for a component of a product line, function, or legal entity within an assigned region in accordance with CT - Branch Examinations… more
- Citigroup (Tampa, FL)
- …coordination of the day-to-day activities of the complaint intake function for Citi's broker - dealer , Citigroup Global Markets ("CGMI"); assistance with the ... with compliance and control; partners with operations, risk, compliance, legal and other entities to ensure accuracy and validity...of verbal and written client complaints for the retail broker dealer /RIA and insurance agency business. This… more
- Citigroup (New York, NY)
- …in transactional work, including cross-border experience is preferred. + Knowledge of broker dealer regulatory requirements is desirable + Experience working in ... The Regulatory Advisory and Transformation legal group is a global team...dealers and security based swap dealers. Experience advising on broker - dealer regulations is also desirable. The individual… more
- SMBC (New York, NY)
- …regulatory advisory function and is responsible for overseeing the management of the broker dealer 's compliance risk, and is represented by the Chief Compliance ... requirements and other ad hoc investigations. + Work with Global Advisory team and other legal entities...and Skills** + Extensive Compliance Advisory experience at a broker dealer covering fixed income and/or fixed… more
- SMBC (New York, NY)
- …regulatory advisory function and is responsible for overseeing the management of the broker dealer 's compliance risk, and is represented by the Chief Compliance ... requirements and other ad hoc investigations. + Work with Global Advisory team and other legal entities...Core Competencies/Skills: + Extensive Compliance Advisory experience at a broker dealer . + Strong knowledge in US… more
- JPMorgan Chase (Jersey City, NJ)
- …all asset classes, globally. The group consists of three core teams: Broker Dealer Settlement Operations, Markets Asset Servicing, and Regulatory Operations. ... be an integral member of the Markets Securities Operations Legal Entity Oversight and Control team. You will be...various trading products and services to protect the firm's global risk exposure. In this role, you will also… more
- Scotiabank (New York, NY)
- …and accounting rules engine implementations. + Assist in the preparation of key Broker Dealer regulatory reports, including the FOCUS report, FINRA Supplemental ... committed to results, in an inclusive and high-performing culture. ** Global Banking and Markets** Global Banking and...FR Y-15, and other Fed reports. + Assist the Broker Dealer Regulatory Reporting team in ensuring… more
- Tradeweb (New York, NY)
- …+ Bachelor's and/or Master's degree in Accounting + 4+ years of broker dealer accounting/reporting experience, preferably with Big 4 or national ... accounting firm experience + Knowledge and experience in broker dealer regulatory requirements + Experience in preparing or reviewing audited broker … 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 a top-tier global financial group. Headquartered in Tokyo and with...various US entities according to candidate's skills set (eg, broker dealer or lending). + Learn how… more
- NatWest Markets (Stamford, CT)
- …+ Experience working within a legal or compliance function of a Swap Dealer or a broker dealer . + Understanding of US regulatory requirements ... dealer rules and regulations) and SEC/FINRA rules governing broker -dealers. + Experience monitoring and reviewing regulatory changes, writing and implementing… more
- Principal Financial Group (Jacksonville, FL)
- …investment account applications. Manage account openings and asset movement requests with broker dealer . + Utilize industry technology, such as Salesforce CRM ... onboarding new client accounts, managing account openings and asset movement requests with broker - dealer , and serving as a point of contact between financial… 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 ... New York, New York, United States of America **Hours:** 40 **Line of Business:** Legal **Pay Detail:** $180,000 - $205,000 USD TD is committed to providing fair and… more
- T. Rowe Price (Baltimore, MD)
- …Perform independent credit analysis and due diligence on new and existing bank and broker / dealer counterparties used for trade execution by the firm's Global ... a difference. We are a premier asset manager focused on delivering global investment management excellence and retirement services that investors can rely on today… more
- TD Bank (Mount Laurel, NJ)
- …training.** + **Experience responding to client complaints within a bank or broker - dealer .** + **Experience reviewing and providing guidance on advertising and ... asset management, securities, investment advisory and insurance) through multiple legal entities (TD Bank NA, TD Private Client Wealth...marketing materials for a broker - dealer /bank.** **Customer Accountabilities:** + Proactively advises the… more
- JPMorgan Chase (Jersey City, NJ)
- Join the Foreign Banks and Broker Dealer Payments Sales team! As a Payments Sales Manager within the Financial Institutions Group - Foreign Banks and Broker ... officers. + Collaborate with client service, compliance, operations, technology, risk, credit, legal in order to optimize delivery. + Gain a thorough understanding… more
- SMBC (New York, NY)
- …SMBC Nikko Securities America, Inc. (Nikko US) is an SEC-registered securities broker - dealer and member of the Financial Industry Regulatory Authority (FINRA) ... SMBC Group is a top-tier global financial group. Headquartered in Tokyo and with...and Hong Kong. SMBC CM is an established derivatives dealer with a broad product portfolio focused on interest… more
- SMBC (New York, NY)
- …SMBC Nikko Securities America, Inc. (Nikko US) is an SEC-registered securities broker - dealer and member of the Financial Industry Regulatory Authority (FINRA) ... SMBC Group is a top-tier global financial group. Headquartered in Tokyo and with...and Hong Kong. SMBC CM is an established derivatives dealer with a broad product portfolio focused on interest… more
- Bank of America (Charlotte, NC)
- …to includeSarbanes-Oxley (SOX) Program, the FR Y-14 CFO Attestation Program, and the Broker - Dealer . This includes assisting with: + Research and maintenance of ... maintaining enterprise-wide policies, procedures, standards and training for SOX Compliance, Broker - Dealer 17a-5 Compliance, Internal Control requirements for US… more
- Mizuho Corporate Bank (New York, NY)
- …and assumption development within Capital Markets Treasury. Capital Markets Treasury includes a broker dealer , swap dealer , derivative dealer , and ... insights for optimizing the balance sheet and liquidity across various legal entities and business units Qualifications + Professional Experience: strong background… more
