- 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 ... relationships in Asia, the Group offers a range of commercial and investment banking services to its corporate, institutional,...Core Competencies/Skills: + 4-7 years of regulatory and/or advisory compliance experience at a broker dealer… more
- Capital One (New York, NY)
- …Strong risk management mindset with working knowledge of regulatory requirements relevant to the bank's Broker Dealer (SEC / FINRA) and Swap Dealer (CFTC / ... Head of Product, Commercial Bank Capital Markets **Capital Markets | Head...opportunity employer (EOE, including disability/vet) committed to non-discrimination in compliance with applicable federal, state, and local laws. Capital… more
- GE Vernova (New York, NY)
- …capital markets products and services, including third-party fundraising and management. + Broker - Dealer Compliance : Coordinate and execute compliance ... Officer in New York, NY. **Job Description** **Essential Responsibilities** _Development Compliance Risk Management_ : Partner with FS' commercial resources 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 ... the origination and execution of transactions with Banks and Broker Dealer clients + Work closely across...of general elements of credit risk as well as legal/ compliance related to Bank and Broker Dealers… more
- JPMorgan Chase (New York, NY)
- …of cryptocurrency and other digital assets. You will be experienced in Bank and/or Broker / Dealer Compliance and be responsible for developing and overseeing ... Bring your expertise to JPMorgan Chase. As part of Risk Management and Compliance , you are at the center of keeping JPMorgan Chase strong and resilient. You help the… more
- JPMorgan Chase (New York, NY)
- …markets + Expertise in financial investment products and services offered by a broker - dealer and investment adviser (eg investments such as fixed income, equity, ... Bring your expertise to JPMorgan Chase. As part of Risk Management and Compliance , you are at the center of keeping JPMorgan Chase strong and resilient. You help the… more
- Citigroup (New York, NY)
- …supervisory issues escalated + Review and approval of designated bank-channel and broker - dealer investments + Manage surveillance alerts within stated policy ... 24 and 31. Series 9/10 also preferred + Knowledge of Bank and Broker - Dealer businesses, regulatory requirements and related policy + Knowledge of Investment… more
- Siebert Williams Shank (New York, NY)
- …investment-grade corporate debt, a national leader in public finance investment banking, a named dealer on more than 50 commercial paper programs, and a seasoned ... platform, and a sound regulatory capital base. We are a SEC-registered securities broker - dealer and member of the Financial Industry Regulatory Authority (FINRA)… more
- Citigroup (New York, NY)
- …+ Knowledge of and experience covering the financial intermediary (bank, broker - dealer , clearinghouse, etc.) client base, preferably within an Investor ... Responsibilities The successful candidate will maintain ownership of key commercial relationships, with responsibilities including, but not limited to: +… more
- JPMorgan Chase (New York, NY)
- …+ ETF experience and in-house legal experience. + Experience advising on broker - dealer issues. + Expertise in complex transactions and index management. ... across departments. + JD or educational equivalent required. + Compliance with relevant licensing requirements. **Preferred Qualifications, Capabilities, and… more