- SMBC (Jersey City, NJ)
- …+ Other duties as required. **Qualifications and Skills** + At least 15 years of institutional broker - dealer compliance experience, with a minimum of 10 ... 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 (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
- Capital One (New York, NY)
- …Surveillance Manager to lead and enhance the firm's surveillance program across both its institutional Broker - Dealer (BD) and Swap Dealer (SD) ... (Interest Rates, FX, and Energy Commodities) as well as institutional Broker - Dealer activities (Equities and...trade surveillance, market regulation, or At least 5 years Compliance experience within a Broker - Dealer … 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
- 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
- Fifth Third Bank, NA (Cincinnati, OH)
- …Office, Compliance , IT, Trading, Accounting; Fifth Third Securities' Broker Dealer , National Financial Services/Pershing, and other third-party vendors. ... FUNCTION: This role covers a broad area of responsibilities within Institutional Brokerage Operations, supporting Capital Markets Fixed Income, Equity, Fifth Third… 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 ... FINRA Compliance and Process Reports for the broker - dealer entities. + Provide guidance and technical...businesses and many of the world's most prominent corporate, institutional and government clients under the JP Morgan and… more
- Scotiabank (Dallas, TX)
- … testing or audit. * Experience/background in compliance applicable to broker - dealer internal inspections, institutional trading & sales, investment ... Manager, Compliance Testing **Requisition ID:** 245239 **Salary Range:** -...and corporate functions within investment or commercial bank or institutional broker - dealer is preferred. *… more
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