- 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
- JPMorgan Chase (Columbus, OH)
- …organization with demonstrated financial services experience. + Experience in broker - dealer and investment advisory matters, including knowledge of ... on the US Wealth Management and Product Legal teams and collaborate with Compliance , Risk and Controls functions to ensure comprehensive and effective support. The… 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
- SMBC (Jersey City, NJ)
- …scope of this function will encompass SMBC Group's Americas Division, inclusive of US broker dealer and registered swap dealer ; SMBC Group's wholesale and ... relationships in Asia, the Group offers a range of commercial and investment banking services to its corporate, institutional,...various US entities according to candidate's skills set (eg, broker dealer or lending). + Learn how… more
- 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 ... Audit and across the firm! As a Senior Internal Auditor, Associate on the Commercial and Investment Banking Finance Audit team, you will be involved in all stages… 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
- TD Bank (New York, NY)
- …of laws, rules, regulations, risks and taxonomies related to consumer and commercial banking, securities ( broker - dealer ), and wealth management businesses ... 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 (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
- JPMorgan Chase (Newark, DE)
- …expertise within the North America ORM Operations space, inclusive of broker - dealer operations oversight and transaction reporting. + Independently assessing ... 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
- Deloitte (Philadelphia, PA)
- …a financial services organization (preferably a bank, capital markets organization or broker - dealer ), regulatory agency, or consulting firm with a clear record ... within the risk function at a bank, capital markets organization or broker - dealer , including execution and oversight processes, risk assessment, reporting,… more
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