- 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 (Richmond, VA)
- …**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
- AIG (New York, NY)
- …the way we help customers to manage risk. Join us as a Vice President, Broker Dealer Claims to play your part in that transformation. It's an opportunity ... summary of the role including value proposition. + Manage a claims team handling broker dealer claims, including direct handling of claims as needed. + Train… more
- GE Vernova (New York, NY)
- …capital markets products and services, including third-party fundraising and management. + Broker - Dealer Compliance : Coordinate and execute compliance ... Officer in New York, NY. **Job Description** **Essential Responsibilities** _Development Compliance Risk Management_ : Partner with FS' commercial resources and… more
- Wells Fargo (Charlotte, NC)
- …statutory disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing ... begins with outstanding talent. It all begins with you. Wells Fargo is Commercial Real Estate Portfolio Management with experience in Low-Income Housing Tax Credit… more
- JPMorgan Chase (Jersey City, NJ)
- …or legal firm + Experience in Broker Dealer , FCM, Swap Dealer , Control Management, Compliance , Audit, and/or operational risk. + Proven ability to ... to JPMorgan Chase. As part of Risk Management and Compliance , you are at the center of keeping JPMorgan...engagements. You will collaborate with senior leaders across the Broker Dealer , Futures Commission Merchant, Swap … 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
- PNC (Pittsburgh, PA)
- …will be based in Pittsburgh, PA. Position Overview: The Capital Markets Finance - Broker Dealer Accounting group supports a high growth and strategic business ... joining a team of finance professionals which includes individuals with CPAs and broker dealer licenses. PNCCM underwrites, deals, and trades in corporate… more
Related Job Searches:
Broker,
Broker Dealer,
Broker Dealer Compliance,
Commercial,
Commercial Broker,
Compliance,
Dealer