- Marex (New York, NY)
- …Plan in line with below responsibilities: + Provide Compliance Advisory services to US Broker Dealer business lines. + Complete or assist in completing US ... Broker Dealer related regulatory inquiries. + Complete or assist in completing US Broker Dealer BCAC (Business Change Approval Committee ()guidance for… 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
- CIBC (New York, NY)
- …the US Compliance Examination Plan established to ensure adherence with broker - dealer requirements and compliance with federal and self-regulatory organization ... markets, investment banking and corporate banking services provided through the US broker - dealer , CIBC World Markets Corp., but may also support other affiliated… more
- MUFG (New York, NY)
- …bridge between our operations teams and the underlying technology that powers our broker dealer settlement engine. The role demands deep expertise in trade ... + Maintain and update operating procedures, stay current on evolving broker ‑ dealer settlement rules and regulatory requirements, and ensure adherence… more
- SolomonEdwards (Albany, NY)
- …Consultant to join a leading national financial services organization with significant broker / dealer operations. This hands-on role will lead the design and ... ensuring full alignment with OCC regulatory requirements. * Partner with the Broker / Dealer oversight function and internal teams to ensure the first line of… more
- Hold Brothers (New York, NY)
- About the Job: Hold Brothers Capital, LLC, is a FINRA Registered, SEC, Self-Clearing Broker Dealer . We strive to be a complete destination for traders looking to ... with Hold Brothers Capital LLC, are required to be registered, and licensed with our broker - dealer in order to trade at the firm. Either, an active Series 7 and… more
- SMBC (New York, NY)
- …inventory of issues across CUSO Market Risk and other risk stripes under the Swap- Dealer and Broker - Dealer legal entity CRO umbrella. - Track and ... documentation and reporting approaches). - Understand regulatory requirements applicable to Swap- Dealer , Broker - Dealer , and Bank entities. **Communication… 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 ... traded products. SMBC Nikko Securities America, Inc. is an SEC-registered securities broker - dealer and member of the Financial Industry Regulatory Authority… more
- Foresters Financial Services (Westbury, NY)
- …independent and institutions-based advisors the benefits of a large, established broker - dealer and registered investment adviser, while serving advisors and ... Cetera include award-winning wealth management and advisory platforms, comprehensive broker - dealer and registered investment adviser services, practice… more
- MUFG (New York, NY)
- …gathering and documentation submission required by the regulatory bodies for the broker - dealer 's onboarding process + Assist with system configuration, setup, ... a similar business analyst or market operations role, preferably within a broker - dealer or financial institution + Thorough understanding of financial markets,… more