• Director, Regulatory Supervision

    CIBC (New York, NY)
    …incidents of non- compliance to the relevant Global Markets business head, senior Compliance officer and, if appropriate, head of US Global Markets for ... + Supervise and conduct surveillance of the US registered broker - dealer securities trading products, as well as...5+ years' experience in handling securities and OTC derivative/swap compliance issues gained at an investment dealer ,… more
    CIBC (10/15/25)
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  • Director, Head of Registrations

    SMBC (Jersey City, NJ)
    …regulators as needed **Qualifications and Skills** + At least 15 years of institutional broker - dealer compliance experience, with a minimum of 10 years of ... work closely with the SMBC Nikko Securities America, Inc., Chief Compliance Officer , SMBC Americas Division Head of Ethics Office, business unit supervisors,… more
    SMBC (10/28/25)
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