- SMBC (Jersey City, NJ)
- …and State regulators as needed **Qualifications and Skills** + At least 15 years of institutional broker - dealer compliance experience, with a minimum of ... offers a range of commercial and investment banking services to its corporate, institutional , and municipal clients. It connects a diverse client base to local… more
- 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
- Coinbase (Madison, WI)
- …in you (ie. job requirements):* * 7+ years experience working in a retail broker - dealer compliance team. * Comfortable working in a fast-paced environment ... and alignment. Attendance is expected and fully supported. The Institutional Compliance team supports the Institutional...Best Execution and CAT reporting. * Experience setting up broker - dealer compliance programs, or at… 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 ... Critical Job Knowledge and Core Competencies/Skills: + 4-7 years of regulatory and/or advisory compliance experience at a broker dealer . + A solid foundation… more
- Charles Schwab (Westlake, TX)
- …and compliance functions for Schwab's registered domestic and international broker -dealers and registered retail and institutional investment advisors. The ... 5+ years of financial services-related audit experience with growing responsibility. Broker Dealer /Asset Management experience specific to internal audit and/or… more
- Charles Schwab (Westlake, TX)
- …and compliance functions for Schwab's registered domestic and international broker -dealers and registered retail and institutional investment advisors. The ... 5-7+ years of financial services-related audit experience with growing responsibility. Broker Dealer /Asset Management experience and/or Big 4 Accounting… more
- Marex (New York, NY)
- …and maintenance of client static data in order to improve efficiencies and Compliance reporting. + Ensuring compliance with the company's regulatory requirements ... responsibility + To report any breaches of policy to Compliance and/ or your supervisor as required + To...a customer's applicable profile; eg Professional Trader, Hedge Fund, Institutional Investor + Strong understanding of FinCEN, FATCA and… more
- San Francisco Federal Credit Union (San Francisco, CA)
- …every interaction, ensuring outstanding member experience. Adhere to all regulatory, broker - dealer , and institutional compliance standards-upholding ... inspire confidence and build lasting relationships. Proficiency in Microsoft Office and broker - dealer platforms. Why You'll Love It Here You'll work alongside a… more
- Huntington National Bank (Columbus, OH)
- …or related experience Preferred Qualifications: + Bachelor's Degree + At least 1 year of Broker dealer experience + FINRA SIE, Series 7 and Series 63 + Proven ... Description The Institutional Sales Support Associate plays a vital role...information and/or transaction details in relevant systems and ensures compliance with standard regulations and processes. + Delivers scalable,… 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
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