- SMBC (New York, NY)
- …time as business is conducted and transactions are executed. **Role Objectives** The Broker Dealer Regulatory Governance Advisory Team within the CPAD Advisory ... organized with project management skills. + Regulatory compliance experience at a broker dealer and or swap dealer preferred. BA/BS required. JD Preferred.… more
- Coinbase (Albany, NY)
- …will provide critical support to Coinbase Capital Markets ("CCM" a FINRA member broker - dealer ) in meeting its regulatory obligations to assist the Product team ... you (ie. job requirements):* * 7+ years experience working in a retail broker - dealer compliance team. * Comfortable working in a fast-paced environment with high… more
- SMBC (New York, NY)
- …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 ... + 4-7 years of regulatory and/or advisory compliance experience at a broker dealer . + A solid foundation in US securities laws and regulations and… more
- AIG (New York, NY)
- …the way we help customers to manage risk. Join us as a Vice President, Broker Dealer Claims to play your part in that transformation. It's an opportunity ... of the role including value proposition. + Manage a claims team handling broker dealer claims, including direct handling of claims as needed. + Train and develop… more
- Guardian Life (New York, NY)
- This is an exceptional chance to join Guardian Life as a Broker - Dealer Operations Specialist and be a key player on our Park Avenue Securities team! You will ... help implement flawless strategies with our advanced technologies, contributing to our world-class service! **You are** + A consummate professional with excellent verbal and written communication skills + Self-motivated and goal-oriented + Patient, empathetic,… more
- Marex (New York, NY)
- …+ Full coordination and collection of client documentation and requirements to facilitate KYC/AML review and approval. + Ensure that appropriate CDD / KYC and AML ... checks are carried out on all new customers in accordance with local regulatory requirements and Group standards and procedures + Communicate with brokers, sales, and other support & control functions on necessary account documentation and deficiencies. + Data… more
- MUFG (New York, NY)
- …our recruitment team will provide more details. **Main Responsibilities:** The US and Canada Broker Dealer Treasury team is part of the HoldCo Treasury, Capital ... directly to the Treasurer, the AVP will have involvement in all broker dealer treasury functions including funding and liquidity risk management, asset liability… more
- SMBC (New York, NY)
- …Assist in preparing high quality materials for Risk Committees (Tier 1 and 2), Swap Dealer and Broker Dealer oversight forums - Help review policies, ... Combined US Operations (CUSO), the SMBC Capital Markets Swap Dealer , and Nikko Securities America's Broker - Dealer entity. This role will focus heavily on… more
- SMBC (New York, NY)
- …issue management across Combined US Operations (CUSO), the SMBC Capital Markets Swap Dealer , and Nikko Securities America's Broker - Dealer entity. This role ... and internal controls). - Strong understanding of regulatory requirements applicable to Swap- Dealer , Broker - Dealer , and Bank entities. Communication and… more
- SMBC (New York, NY)
- …role within the Financial Institutions Group will be responsible for Banks and Broker Dealer client coverage, including all aspects of client development, new ... + Support the origination and execution of transactions with Banks and Broker Dealer clients + Work closely across the Private Debt Complex to assist… more