- 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 (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
- City National Bank (Los Angeles, CA)
- …Management Compliance roles, experience with a financial institution such as a broker / dealer and/or registered investment adviser. * For Wealth Management ... * REGULATORY RELATIONS ANALYST* WHAT IS THE OPPORTUNITY? Responsible...work with business and risk units, along with the Governance Risk & Control Program Office ("GRC"), to prepare… more
- Huntington National Bank (Columbus, OH)
- …Proactively build relationships with regulators and act as the liaison for all broker - dealer regulatory inquiries and examinations. + Advise and collaborate ... partners with senior leaders to ensure there is effective governance and controls that operate within the enterprise Compliance...Legal. Basic Qualifications: + Bachelor's degree + Experience as broker dealer Chief Compliance Officer or lead… more
- TD Bank (Portland, ME)
- …training requirements a plus.** + **Knowledge of current and emerging trends, including broker - dealer and RIA regulatory expectations and standards for ... + **Knowledge and experience within compliance or audit, legal and regulatory environment, enterprise governance framework, products and services, policies,… more
- MUFG (New York, NY)
- …to the team from planning to resolution + Identify Key Data Elements across the broker dealer entity and key regulatory reports and ensure data quality ... more details. **Responsibilities:** + As part of the Data Governance team work across various pillars of the data...personnel to determine MSIIs / audit points. Assist the broker dealer entity in correctly Identifying the… more
- Charles Schwab (Westlake, TX)
- …controls. The department is split into five Enterprise Teams: Technology, Broker - Dealer /Asset Management, Bank, Corporate, and Professional Practices. All ... internship. **This job posting is specific to the team(s) listed below.** ** Broker - Dealer /Asset Management** Broker - Dealer /Asset Management team provides… more
- Ventura County (Ventura, CA)
- …Analysis - Fundamental knowledge of credit risk assessment, issuer evaluations, and broker / dealer compliance requirements. + Technology and Investment Systems - ... investment strategies accordingly. + Negotiation & Relationship Management - Managing broker - dealer relationships to ensure best execution and favorable pricing… more
- SMBC (New York, NY)
- …and counterparty exposure estimation, documentation and reporting approaches). - Understand regulatory requirements applicable to Swap- Dealer , Broker - ... risk oversight processes across SMBC entities. This includes committee governance , regulatory and audit engagement, and issue...CUSO Market Risk and other risk stripes under the Swap- Dealer and Broker - Dealer legal entity… 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 ... applications; + Basic knowledge of finance and accounting, particularly in the bank and broker - dealer space; + Advanced skills in Excel; + Knowledge of Python or… more
- Citizens (Johnston, RI)
- …in developing Private Wealth risk and compliance programs for dual-registered Broker - Dealer /Registered Investment Advisor, 12 CFR 9 Trust and Fiduciary ... with regulatory standards. + Advise, implement, and/or influence internal governance processes. Manage Governance throughout the firm to ensure adherence… more