- NatWest Markets (Stamford, CT)
- Broker Dealer Advisory - VP Stamford,United States Permanent Full Time \#R-00246157 Our people work differently depending on their jobs and needs. From ... the department and the business._ **Job Description** The Compliance Advisory Officer reporting to the Compliance Advisory ...team andcross-functionally. The ideal candidate will have experience with broker - dealer and swap dealer rules… more
- NatWest Markets (Stamford, CT)
- US Operations Oversight & Advisory , Vice President Stamford,United States Permanent Full Time \#R-00252575 Our people work differently depending on their ... functions / flow. + Direct understanding of US regulatory requirements specific to Broker Dealer Operations. + Individual must be self-motivated who is willing… more
- Siebert Williams Shank (New York, NY)
- …or the "Firm") is conducting a search for experienced Investment Banking candidates for Vice President to join its Infrastructure and Public team and work hybrid ... prior experience in public finance investment banking or municipal advisory will be considered. At SWS, all bankers are...sound regulatory capital base. We are a SEC-registered securities broker - dealer and member of the Financial Industry… more
- BMO Financial Group (New York, NY)
- …& sales activities and applicable regulations surrounding them. + Knowledge of the Broker Dealer and Banking Regulations, which include but not limited to ... and investment banking, treasury management, as well as research and advisory services to clients around the world. #bmocapitalmarkets **MANDATE** Capital Markets… more
- TD Bank (New York, NY)
- …partners and groups. + 6 or more years of experience with a registered US broker dealer or regulator. + Knowledge of wholesale banking products and services, ... Assessment ratings. + Partner closely with the Risk Assessment and Compliance Markets Advisory teams, as necessary, to create a cohesive pipeline between the Risk… more
- Mizuho Corporate Bank (New York, NY)
- …designed to add value and improve Mizuho Bank's US operations including derivative activities, broker dealer and swap dealer businesses. Based in the New ... to and composes the overseas arm of MHBK's Internal Audit Division (IAD). Summary Vice President supporting IADA by maintaining a robust Quality Assurance (QA)… more
- Mizuho Corporate Bank (New York, NY)
- …to add value and improve Mizuho Bank's US operations including the derivatives and broker dealer businesses. Based in the New York Metro area, IADA staff ... reporting to such parties. + Demonstrates ability to effectively support the team's Vice President and Director, with respect to the administrative management of… more