- Citigroup (New York, NY)
- **Position Overview:** Citi's Global Broker - Dealer Legal Entity Treasury team is seeking a highly qualified AVP candidate to support Broker - Dealer ... and oversight requirements within the Treasury organization. **Team Description:** The Global Broker - Dealer Legal Entity Treasury team within the… more
- SMBC (New York, NY)
- …Critical Job Knowledge and Core Competencies/Skills: + Extensive Compliance Advisory experience at a broker dealer and or swap dealer . + Strong knowledge in ... SMBC Group is a top-tier global financial group. Headquartered in Tokyo and with...project management skills. + Regulatory compliance experience at a broker dealer and or swap dealer… more
- Wells Fargo (New York, NY)
- …and compliance issues for a financial services firm on securities issues and broker - dealer matters. + Ability to analyze legal and regulatory issues in area ... CIB businesses and support teams on securities regulatory issues, broker - dealer matters and assessing the impact of...matters and will form part of an integrated CIB global legal advisory team For additional information… more
- Bank of America (Jersey City, NJ)
- …reporting teams. The Regulatory Reporting Controller II role is within the GRR Broker Dealer organization responsible for the preparation of Regulatory Reporting ... computations - Prepares and reviews trend and analytical reporting related to Broker Dealer computations - Works with internal controls functions and… more
- SMBC (New York, NY)
- …regulatory advisory function and is responsible for overseeing the management of the broker dealer 's compliance risk, and is represented by the Chief Compliance ... requirements and other ad hoc investigations. + Work with Global Advisory team and other legal entities...and Skills** + Extensive Compliance Advisory experience at a broker dealer covering fixed income and/or fixed… more
- Bank of America (New York, NY)
- …and ensure Risks identified are reflected across all scenarios + Lead EFR coverage of SEC broker dealer net capital rules and CFTC swap dealer capital rules, ... and developing talent, advancing careers, and creating leaders within Global Risk Management and across the company. Our goal...capital management activities, including capital planning and forecasting for broker dealer and swap dealer … more
- Broadridge Financial Solutions (New York, NY)
- …ability to establish, develop and maintain senior-level relationships across bank and broker - dealer accounts. Candidate must have excellent oral and written ... services market, specifically the general workings of wealth management and capital markets broker / dealer operations, as well as exposure to, or experience in,… more
- Broadridge Financial Solutions (New York, NY)
- …ability to establish, develop and maintain senior-level relationships across bank and broker - dealer accounts. Candidate must have excellent oral and written ... services market, specifically the general workings of wealth management and capital markets broker / dealer operations, as well as exposure to, or experience in,… 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 ... SMBC Group is a top-tier global financial group. Headquartered in Tokyo and with...various US entities according to candidate's skills set (eg, broker dealer or lending). + Learn how… more
- NatWest Markets (Stamford, CT)
- …+ Experience working within a legal or compliance function of a Swap Dealer or a broker dealer . + Understanding of US regulatory requirements ... dealer rules and regulations) and SEC/FINRA rules governing broker -dealers. + Experience monitoring and reviewing regulatory changes, writing and implementing… more