- 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
- Regions Bank (Charlotte, NC)
- …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
- Citigroup (Getzville, NY)
- …taking minutes, and ensuring follow-up requests are addressed for forums such as CBNA ALCO Broker Dealer ALCO, and regulatory engagement. * Ensure the right ... sheet for US Bank Chain Entities, US and Consolidated Broker Dealer Entities, and Hold Co. Entities....detail and a strong focus on execution. Key Responsibilities: Governance and Regulatory Oversight: * Support the… 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
- Neuberger Berman (New York, NY)
- …Operations, and other control partners to ensure the highest standards of supervision and governance for RIA and Broker Dealer platforms and advisory/sales ... high-performing teams + Deep understanding of RIA and Broker Dealer supervisory frameworks, advisory/sales practices, and relevant regulatory requirements +… more
- TD Bank (New York, NY)
- …JD desirable but not required. + 7-10 years of experience with a registered US broker dealer , swap dealer , Global Systematically Important Bank (GSIB), or ... US Compliance Initiatives Team and US Wholesale Compliance Group. The Compliance Regulatory Initiatives Team is a newly created team within US Wholesale Compliance… more
- TD Bank (New York, NY)
- …JD desirable but not required. + 5-7 years of experience with a registered US broker dealer , swap dealer , Global Systematically Important Bank (GSIB), or ... a team(s) of specialists/professionals providing advice, guidance and expertise on regulatory requirements and assisting business units to manage their regulatory… more
- Charles Schwab (Westlake, TX)
- …planning across the corporation and its subsidiaries, including our bank and broker -dealers. We monitor and ensure adherence to regulatory ratios including ... organization; + Basic knowledge of finance and accounting, particularly in the bank and broker - dealer space; + Good SQL and Excel Skills; + Experience with… more