- Unknown (Charlotte, NC)
- Group Chief Financial Officer (CFO) About the Company Leading technology-driven broker - dealer specializing in providing liquidity in fixed income securities ... of its parent company, which wholly owns the US broker - dealer and the FCA registered broker...the value of the company. * Provide oversight and governance of all legal entities, including the employee ownership… more
- Unknown (New York, NY)
- …with a preference for those with experience in financial services or a broker - dealer environment. Essential skills include a deep understanding of operational ... is pivotal in ensuring that the region's risk profile, governance , and activities are in line with global standards....mitigated, and serving as the primary contact for risk-related regulatory matters. The role also involves contributing to global… more
- Unknown (Austin, TX)
- …minimum of 15 years of combined legal and compliance experience, with a focus on broker - dealer or RIA environments. The ideal candidate will have a proven track ... technology platforms. Preferred attributes include experience in executive and board-level governance , familiarity with emerging regulatory trends, and the… more
- 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
- Charles Schwab (Westlake, TX)
- …the efficiency of governance processes, risk management, and internal controls. The Broker Dealer Asset Management (BDAM) Audit Team is seeking a Senior IT ... by evaluating and improving the efficiency of risk management, control, and governance processes. This position will focus on application technology risks within the… 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
- SMBC (Jersey City, NJ)
- …knowledge of US regulatory rules, including capital requirements across banking, broker / dealer , and swap dealer entities. + Review and challenge ... issues involving our New York Branch, Bank Holding Company, broker / dealer , swap dealer and other...obligations to build firm-wide awareness and expertise. + Ensure governance and control standards are met for regulatory… 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
- Wells Fargo (Charlotte, NC)
- …and/or Strategic Planning + Experience with Regulatory Reporting, including Swap Dealer / Broker Dealer / Qualified Financial Contract Recordkeeping ... Fargo is seeking a Business Execution Senior Manager for our Global Regulatory Reporting Transformation Team as part of Corporate Investment Banking (CIB) Operations… more
- CGI Technologies and Solutions, Inc. (Jersey City, NJ)
- …role:** . 10+ years' experience in the capital markets financial industry (Bank/FBO/ Broker Dealer ). . Extensive experience with Adenza/Axiom Controller View ... **Business Analyst - Regulatory Reporting** **Category:** Business Analysis (functional and technical) **Main location:** United States, New Jersey, Jersey City… 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
- Zions Bancorporation (Salt Lake City, UT)
- …to the non-bank divisions of Zions Bancorporation including but not limited to Broker Dealer , Capital Markets and Public Finance groups. **Responsibilities** The ... Compliance Manager will lead and oversee the firm's compliance programs for its FINRA-registered broker - dealer , bank broker dealer , and capital markets… more
