- Equitable (Charlotte, NC)
- Broker Dealer Outsourcing and Oversight Analyst (HYBRID or REMOTE) ( 250000NB ) **Primary Location** : UNITED STATES-NC-Charlotte **Other Locations** : UNITED ... help unlock your potential? We are seeking a highly skilled and detail-oriented Broker Dealer Outsourcing and Oversight Analyst to join our team. This role is… more
- 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 (Madison, WI)
- …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
- JPMorgan Chase (Columbus, OH)
- …+ Develop strong relationships with top-tier clients and prospects through consultative, proactive phone conversations that deliver the JPMAM value proposition. + ... JPMorgan Asset Management (JPMAM) helps institutional and individual clients from around the globe meet their financial goals by providing industry-leading investment solutions. Our wide array of financial strategies-equity, fixed income, cash management,… more
- Regions Bank (Atlanta, GA)
- …and experience for job opportunities and will not be used for marketing purposes, sold, or shared outside of Regions unless required by law. Such information will be ... Thank you for your interest in a career at Regions. At Regions, we believe associates deserve more than just a job. We believe in offering performance-driven individuals a place where they can build a career a place to expect more opportunities. If you are… 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
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