- Robert Half Finance & Accounting (New York, NY)
- Description A leading global Broker - Dealer & Capital Markets firm is seeking a Head of Treasury to join their growing team in New York City. This role is a ... markets space ✅ Direct exposure to C-suite leadership and global finance operations ✅ Opportunity to centralize and build...Qualifications: ✔️ 12+ years of treasury experience at a Broker - Dealer , Prime Brokerage, Capital Markets, or Swap… 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
- JPMorgan Chase (Plano, TX)
- JPMorgan Securities LLC (JPMS LLC) is a licensed broker - dealer and investment adviser registered with the SEC and FINRA. It is also a Municipal Securities ... Dealer , Futures Commission Merchant, Commodity Pool Operator, and registered...for clients worldwide. Join JPMS LLC, a leader in global financial services, and play a pivotal role in… more
- Manulife (Boston, MA)
- …experience. + The candidate must have extensive knowledge and understanding of broker dealer securities regulation (investment adviser/investment company a plus) ... + Provide knowledgeable interpretation and analysis, in consultation with legal counsel, on regulatory matters affecting the distribution of...and broker dealer operations, as well as an… 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
- 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
- US Bank (Washington, DC)
- …Include** - Advise on secondary market trading matters - Review broker - dealer transactional agreements, including securities lending and repurchase agreements ... Advanced knowledge and experience with structured lending, securities, bank regulation, broker - dealer regulation, and other pertinent laws and regulations,… more
- SMBC (New York, NY)
- …credit officers and our clients. The individual will support activities within our swap dealer and broker dealer businesses including derivatives, FX, repo ... SMBC Group is a top-tier global financial group. Headquartered in Tokyo and with...SMBC Nikko Securities America, Inc. is a SEC-registered securities broker - dealer and member of the Financial Industry… 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
- Wellington (Boston, MA)
- …enhancements structure, * Collaborate with sales teams to identify improvements for the broker dealer workflows, processes, and systems. * Maintain and track ... management capabilities that span nearly all segments of the global capital markets. Our investment solutions, tailored to the...include: * 5+ years of relevant investment adviser or broker dealer experience (private placement experience a… 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 (Sioux Falls, SD)
- …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
- 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 (Fort Lauderdale, FL)
- …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 (Columbus, OH)
- …from further analysis, and develop actionable recommendations. + Specific knowledge of core broker - dealer systems, operation of common broker - dealer ... secure buy-in from senior leadership. + Collaborate with internal technology, operations, legal , risk, and compliance partners to develop requirements for the target… more
- Mizuho Corporate Bank (New York, NY)
- …management, and business support 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
- 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
- JPMorgan Chase (Columbus, OH)
- …organization with demonstrated insurance experience. + Experience in insurance and broker - dealer matters, including knowledge of state insurance laws and ... The US Wealth Management Legal team is seeking an attorney to support...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