- Citigroup (New York, NY)
- **Position Overview:** Citi's Global Broker - Dealer Legal Entity Treasury team is seeking a highly qualified AVP candidate to support Broker - Dealer ... and oversight requirements within the Treasury organization. **Team Description:** The Global Broker - Dealer Legal Entity Treasury team reports to… more
- TD Bank (New York, NY)
- …this role **Job Description:** **Preferred Qualifications:** TD Securities is looking for a broker - dealer accountant to join its Product Control division in New ... books and records and regulatory filings for its US broker -dealers as well as non broker dealers....meetings with the Equities Business. + Provide Commentary to Legal Entity, FP&A and Regulatory Controllers on P&L and… more
- MUFG (New York, NY)
- …practices. + Work closely with Global colleagues and US counterparts to ensure that Broker Dealer are aligned with peer broker dealer practices and ... provide more details. **Job Summary:** The US and Canada Broker Dealer Treasury team is part of...The AVP will partner extensively with Treasury, Finance, Operations, Legal and Business colleagues, in close collaboration with other… 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
- SMBC (New York, NY)
- …all support functions. + Provide compliance subject matter expertise for some bank, Swap dealer and Broker dealer regulations applicable to support functions ... communications. + Experience working for a non-U.S. bank / broker dealer is highly desirable. + Familiarity...dealer is highly desirable. + Familiarity with US legal and regulatory requirements applicable to non-U.S. financial institutions… more
- Citigroup (New York, NY)
- …and payments, trade finance, securities services, as well as Citi's broker - dealer and swap- dealer businesses. Investigations Legal provides legal ... Citi Legal is seeking a mid-level attorney to join...demanding, fast-paced environment. + Experience working in a complex global environment highly desirable. + Prior experience working at… 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
- 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
- Wellington (Chicago, IL)
- …purpose broker - dealer (WFD) + Maintain policies & procedures related to broker dealer and sales & marketing activities + Support registration process for ... management capabilities that span nearly all segments of the global capital markets. Our investment solutions, tailored to the... broker dealer registered reps + Assist with… more
- JPMorgan Chase (Brooklyn, NY)
- …CIB Markets entities in North America, primarily JP Morgan Securities LLC, the US Broker - Dealer ; + Working with LOB financing desks on funding strategy; + ... Join our fast-paced team as a Markets Legal Entity Treasury Associate! As a Markets ...strength and the diverse talents they bring to our global workforce are directly linked to our success. We… more
- Insight Global (New York, NY)
- …Experience in the financial services industry, either working for an investment manager, broker dealer , law firm, accounting firm, or regulator . Financial ... Job Description Insight Global is seeking a Compliance Testing Analyst for...in compliance, financial advising, sales, product controls, market risk, legal , or audit is also desirable. The candidate should… more
- Citigroup (New York, NY)
- …preparing and filing the monthly FOCUS reports for each and ensuring that the primary broker dealer , Citigroup Global Markets Inc. is compliant with the ... The role is in the Broker Dealer Regulatory Reporting Department, which...data, including by preparing and recording financial transactions for legal vehicle and regulatory reporting purposes, updating the general… 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...focus of this role will be on the US broker dealer and US swap dealer… more
- SMBC (New York, NY)
- …Description** The SMBC Compliance Department monitors the corporate banking, investment banking and broker dealer activities of SMBC Group and reports on the ... SMBC Group is a top-tier global financial group. Headquartered in Tokyo and with...SMBC Employee Investment Policy, arranges for the registration of broker - dealer personnel, and conducts compliance training. In… more
- Bank of America (Charlotte, NC)
- …Sarbanes-Oxley (SOX) Program, the FR Y-14 CFO Attestation Program, and the Broker - Dealer and Environmental, Social & Governance (ESG) Internal Control ... maintaining enterprise-wide policies, procedures, standards and training for SOX Compliance, Broker - Dealer 17a-5 Compliance, Internal Control requirements for US… more
- Citigroup (Washington, DC)
- …from across its businesses, functions, and geographies - including Risk, Finance, Legal , Compliance, Global Government Affairs and Citi's business units - ... in connection with regulations, guidance, and standards set by global financial regulators and standard setting bodies. The team...policy. The preferred candidate will have worked at a broker / dealer , swap dealer , capital markets… more
- JPMorgan Chase (New York, NY)
- …self-regulatory organization with demonstrated financial services experience. + Experience in broker - dealer matters, including knowledge of federal and state ... By joining the US Wealth Management Legal Department and supporting its associated functions, you...firm, and advises the firm on other matters. Our global team is made up of 2,000 lawyers and… more
- SMBC (New York, NY)
- …Security, Operations, Procurement, Third-Party Risk, Human Resources, Capital Markets, Nikko ( broker dealer ), and Corporate Services. In particular: + Serving ... SMBC Group is a top-tier global financial group. Headquartered in Tokyo and with...Sumitomo Mitsui Banking Corporation (SMBC) will work within the Legal Department, reporting to the Executive Director and Head… more
- TD Bank (New York, NY)
- …accordance with Firm policy and regulatory requirements. TD has been growing its US Broker Dealer activities over the last few years both organically and through ... Overview:** Regulatory and Supervisory Management proactively supports TD Securities' Global Markets businesses to achieve sustainable strategies, supervision, operating… more
- BlackRock (Sausalito, CA)
- …financial services compliance with an asset management firm, investment adviser and/or broker - dealer . + Ability to identify Compliance risks and propose ... processes and procedures, portfolio management and trading support, liaising with the broader legal and compliance teams in reviewing and monitoring a broad range of… more