- SMBC (New York, NY)
- …issues until resolved. + Must be well organized with project management skills. + Regulatory compliance experience at a broker dealer and or swap dealer ... time as business is conducted and transactions are executed. **Role Objectives** The Broker Dealer Regulatory Governance Advisory Team within the CPAD Advisory… more
- 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)
- …**Preferred Qualifications:** + **4+ years of experience within a broker dealer registration and licensing function or similar compliance experience** + **3+ ... Associate Broker Dealer Risk Specialist **The Associate...Risk Specialist **The Associate Risk Specialists supporting Capital One's Commercial Broker Dealers are highly motivated Risk… more
- US Bank (Atlanta, GA)
- …in the following areas: * Wealth Management laws and regulations (eg, Broker Dealer , Trust Services, Wealth Management, Securities and Exchange Commission ... Wealth Operations, Private Banking) * Capital Market laws and regulations (eg, Broker Dealer , Trust Services, Wealth Management, SEC Regulations, FINRA… more
- JPMorgan Chase (Jersey City, NJ)
- …learning as this role will have a primary focus covering the US Broker - Dealer (s) Compliance program. **Job Responsibilities** + Coordinate periodic reporting ... and prepare the annual FINRA Compliance and Process Reports for the broker - dealer entities. + Provide guidance and technical expertise that supports the… more
- Scotiabank (Dallas, TX)
- …should involve compliance testing or audit. * Experience/background in compliance applicable to broker - dealer internal inspections, institutional trading ... Manager, Compliance Testing **Requisition ID:** 245239 **Salary Range:** -...banking, investment management, and corporate functions within investment or commercial bank or institutional broker - dealer … more
- GE Vernova (Stamford, CT)
- …capital markets products and services, including third-party fundraising and management. + Broker - Dealer Compliance : Coordinate and execute compliance ... Leader in New York, NY. **Job Description** **Essential Responsibilities** _Development Compliance Risk Management_ : Partner with FS' commercial resources and… more
- Wells Fargo (Salt Lake City, UT)
- …statutory disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing ... current in relevant systems **Required Qualifications:** + 7+ years of Commercial Banking Relationship Management experience, or equivalent demonstrated through one… more
- SMBC (New York, NY)
- …issue management across Combined US Operations (CUSO), the SMBC Capital Markets Swap Dealer , and Nikko Securities America's Broker - Dealer entity. This role ... and internal controls). - Strong understanding of regulatory requirements applicable to Swap- Dealer , Broker - Dealer , and Bank entities. Communication and… more
- SMBC (New York, NY)
- …Assist in preparing high quality materials for Risk Committees (Tier 1 and 2), Swap Dealer and Broker Dealer oversight forums - Help review policies, ... Coordination Team across Combined US Operations (CUSO), the SMBC Capital Markets Swap Dealer , and Nikko Securities America's Broker - Dealer entity. This role… more
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