- SMBC (New York, NY)
- …well organized with project management skills. + Regulatory compliance experience at a broker dealer and or swap dealer preferred. BA/BS required. Series ... Critical Job Knowledge and Core Competencies/Skills: + Extensive Compliance Advisory experience at a broker dealer and or swap dealer . + Strong knowledge in… more
- Charles Schwab (Lone Tree, CO)
- …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
- Citigroup (Tampa, FL)
- The current opening is for a candidate to join the CRO team of Citi's US Broker Dealer legal entity. The objective of the role is to support the CRO across ... various aspects in managing the US Broker Dealer and its related activities as...and for understanding and meeting objectives of Citi's prudential regulatory requirements. **Key Responsibilities:** + Develop subject matter expert… more
- NatWest Markets (Stamford, CT)
- …Strong understanding of the broker dealer and swap dealer business and associated regulations, regulators, and self- regulatory organizations. + Excellent ... Head of Regulatory Relations, Corporate Governance , and Registrations...considerations when responding to regulators. + Good knowledge of broker - dealer and swap dealer processes… 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....methodologies, models, and rules, and oversees the execution of governance frameworks, policies, and standards. A core part of… more
- SMBC (New York, NY)
- …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
- SMBC (Jersey City, NJ)
- …representative offices; Grand Cayman Branch; Canada Branch; Brazilian banking subsidiary; US broker dealer and registered swap deal; and certain non-bank leasing ... looking to hire a Financial Crime Compliance ("FCC") Program Governance Associate reporting to a VP of FCC Program...archives via SharePoint. 8. Stay abreast of the changing regulatory landscape. 9. This role may also be required… more
- Wells Fargo (St. Louis, MO)
- …services industry experience + Experience in branch office supervision, compliance, broker - dealer governance , sales supervision **Job Expectations:** + ... ensure the firms' requirements for supervision are in adherence with regulatory , compliance and legal requirements. The Senior Supervisory Control Specialist… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …procedures of the financial services industry. + Bank holding company and retail broker dealer clearing firm operations. **Skill in:** + Experience drafting ... experience to build, analyze, and continuously improve the enterprise policy governance program across Raymond James. Leads major projects, programs, or processes… more
- Charles Schwab (Westlake, TX)
- …Demonstrated detailed knowledge of finance and knowledge of liquidity risk management at a broker dealer . * Regulatory financial reporting, and experience in ... the corporation and its subsidiaries, including our bank and broker -dealers. We monitor and ensure adherence to regulatory...like BPI to maintain up to date interpretations and governance * Ensure compliance with Reg LL, LST regulations… more