- Siebert Williams Shank (New York, NY)
- …other regulatory licenses desired * At least 7 years working for a broker - dealer , with at least 5 years of compliance experience * Experience with fixed ... & Co., LLC ("SWS" or the "Firm") (a FINRA-registered broker / dealer ) is seeking to add a knowledgeable,... professional to the team led by the Chief Compliance Officer . The selected candidates will be… more
- Tradeweb (New York, NY)
- …will maintain and establish standards and implement procedures to ensure that the broker - dealer compliance program remains effective and efficient in ... identifying, preventing, detecting and remediating regulatory issues. + Oversee the broker - dealer compliance program functions including implementation of… more
- Capital One (New York, NY)
- … Advisor Senior Manager will report directly to the Commercial Broker Dealer Chief Compliance Officer . This role will support three institutional ... Senior Manager will work independently from the CBD Chief Compliance Officer to interact with and advise... Compliance Advisor Senior Manager also assists the Broker Dealer CCO in keeping abreast of… 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 ... Compliance Officer as either a member or observer of various...and Skills** + 7-10+ years of regulatory and/or advisory compliance experience at a broker dealer… 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 ... Compliance Officer as either a member or observer of various...+ Extensive Compliance Advisory experience at a broker dealer covering fixed income and/or fixed… 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 ... Compliance Officer as either a member or observer of various...+ Extensive Compliance Advisory experience at a broker dealer . + Strong knowledge in US… 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 seeking a Vice President for the Compliance Risk Assessment team ("CRA team") within the ...focus of this role will be on the US broker dealer and US swap dealer… more
- Scotiabank (New York, NY)
- Senior Manager, Markets Compliance Officer **Requisition ID:** 204138 **Salary Range:** 110,700.00 - 211,800.00 _Please note that the Salary Range shown is a ... of compliance experience, including experience providing advisory support to a broker - dealer equities sales and trading business. + Knowledge of relevant SEC… more
- Marex (New York, NY)
- …(http://www.marex.com/) (http://www.marex.com/) (http://www.marex.com/) Purpose of Role: The Executive Compliance Officer - Solutions Advisory position will ... + At least 10 years of securities advisory experience. Knowledge of broker - dealer activities and requirements. + Strong knowledge of applicable securities… more
- Wells Fargo (New York, NY)
- …equities, etc) + Experience in large and complex banking or broker / dealer institutions, risk management leadership experience in multi-jurisdictional global ... **About this role:** Wells Fargo is seeking a Lead Control Management Officer to support Capital Markets Technology within the CIO organization for the… more
- Neuberger Berman (New York, NY)
- …24 (or 9/10) licenses required + 3-5 years of investment advisory or broker - dealer experience, ideally with background in supervisory principal activities + ... focus on identification, mitigation and resolution of alerts related to IPS Compliance (including but not limited to deviation from asset allocation/risk profiles,… more
- Ankura (New York, NY)
- …risk assessments, policies, procedures, internal controls, and systems processes; + Prepare compliance reports for Compliance Officer , Senior Management, ... companies, third-party payment processers, consumer collections agencies and securities/brokerage [ broker dealer ] + Working knowledge/experience with virtual… more
- HSBC (New York, NY)
- …locally by containing compliance risk in liaison with the Head of Group Compliance , Global Business Compliance Officer , Area Compliance Officer ... e-mails, faxes and correspondence + Conduct on-site audits of broker / dealer field locations to ensure all processes...Local Compliance Officer , ensuring adequate compliance resources and training, fostering a compliance … more
- Scotiabank (New York, NY)
- …an inclusive work environment. **What You'll Bring** + 5+ years of progressive banking/ broker - dealer experience in audit, risk, compliance , and/or capital ... , Risk Management, and IT to develop a stronger strategy for banking/ broker - dealer audit coverage. + Maintain effective relationships with stakeholders from… 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 ... Business Control Manager will report into the Business Control Officer of Commercial Banking to manage and participate in...perform root cause analysis, distinguishing between various levels of compliance and other types of risk. * Prepare and… more
- Citigroup (New York, NY)
- …others responsible for providing support on oversight and governance of the US broker - dealer chain legal entities. This role reports into the Chief Legal ... Entity Governance Officer and is a critical member of the Legal...the development and implementation of non-financial risk monitoring program ( compliance risk, operational risk, and reputation risks), in conjunction… more
- Mizuho Corporate Bank (New York, NY)
- … and 5+ years of experience for AVP in banking, capital markets and broker dealer industries + Strong knowledge of regulatory reporting process primarily on ... in, or actively contribute to the following activities: + Compute Risk Weighted Asset in compliance to US Basel III at both BHC and legal entity level + P repare… more