- SMBC (New York, NY)
- …in real time as business is conducted and transactions are executed. **Role Objectives** The Broker Dealer Regulatory Governance Advisory Team within the ... and reporting. Regulatory Engagements: The Regulatory Governance Team supports SMBC's Broker - dealer entity in managing regulatory exams and… more
- Robert Half Legal (San Diego, CA)
- …A well-established financial services organization is seeking a Associate General Counsel - Broker - Dealer Regulatory Compliance to join its growing corporate ... Serve as day-to-day legal advisor to the broker - dealer and investment advisory platforms, focusing on regulatory...Manage and mentor a team of attorneys focused on regulatory oversight and governance . + Interface regularly… more
- Charles Schwab (Westlake, TX)
- …of governance processes, risk management, and internal controls. The Broker - Dealer /Asset Management enterprise team is seeking a Senior Auditor (Senior ... 5+ years of financial services-related audit experience with growing responsibility. Broker Dealer /Asset Management experience specific to internal audit and/or… more
- Regions Bank (Atlanta, GA)
- …unless required by law. Such information will be stored in accordance with regulatory requirements and in conjunction with Regions' Retention Schedule for a minimum ... Five (5) years banking experience, with a concentration in audit, compliance or regulatory functions **Skills and Competencies** + Ability to analyze data and facts… more
- Santander US (Miami, FL)
- …controls related to the Swap Dealer (eg Dodd Frank/EMIR/MiFid) and coverage for Broker Dealer controls in coordination with the controls Team. Act as back up ... controls to mitigate such risks. Capable of learning back up controls for the Broker Dealer where needed. Knowledge of Sentinel/Bloomberg. * In depth knowledge… more
- Vanguard (Malvern, PA)
- …high-impact legal agreements-from securities lending and repurchase transactions to broker / dealer trading and platform documentation. You'll partner with ... various legal documents for securities lending, repurchase agreements, as well as broker / dealer trading and platform agreements and supporting documentation. +… more
- SMBC (New York, NY)
- …frameworks - Track regulatory developments and interpret implications for swap dealer governance , reporting, and risk controls New Business and Issue ... dealer , and Nikko Risk - Lead issue governance , tracking, and compile closure packs of regulatory...estimation, documentation and internal controls). - Strong understanding of regulatory requirements applicable to Swap- Dealer , Broker… more
- SMBC (New York, NY)
- …- Track regulatory developments and interpret implications for swap dealer governance , reporting, and risk controls **Qualifications and Skills** ... entity. This role will focus heavily on issue management, governance coordination, reporting and execution of key regulatory...years of experience in risk management, counterparty risk, risk governance , broker - dealer risk, or swap… more
- SMBC (Charlotte, NC)
- …the Data Governance field for a Financial Institution (eg Bank Holding Company, broker dealer , swap dealer ) with focus on: documenting data requirements ... Nikko America's Data Management and Analytics Group, the Data Governance Analyst will be primarily responsible for supporting the...role will support both SMBC Nikko Securities America, Inc. ( Broker - Dealer ) and SMBC Capital Markets, Inc. (Swap… 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 ... Execution Consultant to support Corporate & Investment Banking Model Governance execution. The Corporate & Investment Banking (CIB) Model... regulatory obligations, which include periodic screening and mandatory reporting… more