- JPMorgan Chase (Jersey City, NJ)
- …in financial services industry + Exposure to capital planning (CCAR), broker - dealer and bank regulatory reporting, and Treasury/liquidity reporting processes ... governance and operational excellence! As a Senior Internal Audit Associate on the Commercial and Investment Banking Finance Audit team, you will be involved in all… 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
- Ventura County (Ventura, CA)
- …Analysis - Fundamental knowledge of credit risk assessment, issuer evaluations, and broker / dealer compliance requirements. + Technology and Investment ... investment strategies accordingly. + Negotiation & Relationship Management - Managing broker - dealer relationships to ensure best execution and favorable pricing… more
- TD Bank (Mount Laurel, NJ)
- …Compliance laws, rules, regulations, risks and taxonomies related to consumer and commercial banking, securities ( broker - dealer ), and wealth management + ... more specific details for this role. **Line of Business:** Compliance **Job Description:** **Department Overview:** **Why Work with Us?**...Overview:** **Why Work with Us?** At TD Bank US Compliance , we're on a mission to build a more… more
- JPMorgan Chase (Columbus, OH)
- …meets the highest standards. Job Responsibilities + Perform on-site and remote compliance examinations of broker - dealer and investment advisory businesses ... 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
- SMBC (Jersey City, NJ)
- …LATAM representative offices, Grand Cayman branch, Brazilian banking subsidiary, US broker - dealer and registered swaps dealers, and certain non-banking leasing ... value of its relationships in Asia, the Group offers a range of commercial and investment banking services to its corporate, institutional, and municipal clients. It… more
- SMBC (Jersey City, NJ)
- …on technical regulatory issues involving our New York Branch, Bank Holding Company, broker / dealer , swap dealer and other affiliates. This role will ... deep technical knowledge of US regulatory rules, including capital requirements across banking, broker / dealer , and swap dealer entities. + Review and… more
- Citizens (Boston, MA)
- …aspects within the Bank's full-service wealth management business, which includes RIA, Broker Dealer and Trust (including Delaware trust) offerings and services. ... of Wealth Legal and will be responsible for providing commercial and comprehensive legal guidance to senior management and...legal experience with substantial experience in the RIA and Broker - Dealer space. + Thorough familiarity with federal… 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
- Robert Half Legal (Philadelphia, PA)
- …and regulations, including those related to private placements, investment advisors, and broker - dealer activities. * Ability to thrive in a fast-paced, ... raising transactions required. * Other corporate transaction experience, including M& A, commercial contracts, and corporate governance a plus * Prior experience and… more