- Capital One (New York, NY)
- Trade Surveillance Manager ( Broker - Dealer & Swap Dealer ) **About the Role** We are seeking a highly skilled Trade Surveillance Manager to lead and enhance ... the firm's surveillance program across both its institutional Broker - Dealer (BD) and Swap Dealer (SD) businesses. This individual will oversee day-to-day… more
- 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
- Capital One (New York, NY)
- Associate Broker Dealer Risk Specialist **The Associate Risk Specialists supporting Capital One's Commercial Broker Dealers are highly motivated Risk ... **Preferred Qualifications:** + **4+ years of experience within a broker dealer registration and licensing function or similar compliance experience** +… more
- Insight Global (New York, NY)
- …$68/hr, this role serves as a senior regulatory and risk partner to Broker ‑ Dealer Compliance leadership and the businesses they support, translating regulatory ... as: ○ Sophisticated proprietary trading firms (eg, Jane Street) ○ Full‑service broker ‑dealers, particularly smaller or mid‑sized firms that do full-service ○ Big… 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
- TD Bank (New York, NY)
- …Chief Financial Officer for TD Securities USA and focuses on the reporting of the Broker Dealer . The Head of Finance is responsible for understanding of the ... & Scope:** + Oversees and is responsible for regulatory reporting for the Broker Dealer (FOCUS, 15c3-3. daily net capital etc) and the non-Bank FRB reporting… 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