- SMBC (New York, NY)
- …advisory function to the President and is responsible for overseeing the management of the broker dealer 's compliance risk and is represented by the Chief ... relationships in Asia, the Group offers a range of commercial and investment banking services to its corporate, institutional,...years of regulatory and/or advisory compliance experience at a broker dealer . + A solid foundation in… more
- Huntington National Bank (Columbus, OH)
- …Risk, Internal Audit, and Legal. Basic Qualifications: + Bachelor's degree + Experience as broker dealer Chief Compliance Officer or lead compliance director ... Advisors (HFA), Huntington Securities Incorporated (HSI), and Capstone Partners broker - dealer compliance program functions including implementation of written… more
- Dunham & Associates Investment Counsel, Inc. (San Diego, CA)
- …Experience Required: + Ten plus years of experience in similar role at broker dealer , investment advisory firm, trust company or similar financial institution; ... CHIEF FINANCIAL OFFICER Dunham & Associates Holdings, Inc....a subsidiary of Dunham, is an independently owned, registered Broker / Dealer and Investment Adviser helping Financial Advisors… more
- Capital One (New York, NY)
- …Strong risk management mindset with working knowledge of regulatory requirements relevant to the bank's Broker Dealer (SEC / FINRA) and Swap Dealer (CFTC / ... and transactions in a well-managed and compliant manner. Reporting to Chief Product Officer of the Commercial Bank and sitting on the Product Leadership Team for… more
- GE Vernova (New York, NY)
- …aligned to the strategic risk profile of the Company to the EDGE Chief Compliance Officer and commercial resources. + Risk Assessment: Demonstrate strategic ... markets products and services, including third-party fundraising and management. + Broker - Dealer Compliance: Coordinate and execute compliance obligations for… more
- SMBC (New York, NY)
- …credit officers and our clients. The individual will support activities within our swap dealer and broker dealer businesses including derivatives, FX, repo ... traded products. SMBC Nikko Securities America, Inc. is an SEC-registered securities broker - dealer and member of the Financial Industry Regulatory Authority… more
- Scotiabank (Dallas, TX)
- …Knowledge of purchase order processing and approval protocols necessary + Banking or broker dealer experience is a positive **Interested?** If your experience is ... to the overall success of the Office of the Chief Operating Officer in the United States ensuring specific...range of advice, products and services, including personal and commercial banking, wealth management and private banking, corporate and… more