- SMBC (New York, NY)
- …as a regulatory advisory function to the President and is responsible for overseeing the management of the broker dealer 's compliance risk and is represented ... for an annual discretionary incentive award. In addition to cash compensation, SMBC offers a competitive portfolio of benefits...years of regulatory and/or advisory compliance experience at a broker dealer . + A solid foundation in… more
- TD Bank (New York, NY)
- …this role **Job Description:** **Preferred Qualifications:** TD Securities is looking for a broker - dealer accountant to join its Product Control division in New ... books and records and regulatory filings for its US broker -dealers as well as non broker dealers....Equity Markets. + Assist in the coordination, preparation and management of our timely month end close. + Review… more
- MUFG (New York, NY)
- …for US Broker Dealer including Intraday monitoring, collateral management , cash flow forecasting, stress testing, and compliance with ALM guidelines. ... management reporting and analysis for the Canadian Broker Dealer . The AVP will partner extensively...for liquidity. + Develop and enhance collateral monitoring and cash flow forecasting reporting. + Continue to build out… more
- DA Davidson Companies (Denver, CO)
- …capital markets, risk management , treasury operations, and/or cash management , preferably within a broker - dealer or financial institution*Strong ... risk, and settlement risk; as well as assisting the firm's treasury and cash management functions with cash flow forecasting, capital planning, and various… more
- SMBC (New York, NY)
- …all support functions. + Provide compliance subject matter expertise for some bank, Swap dealer and Broker dealer regulations applicable to support functions ... for an annual discretionary incentive award. In addition to cash compensation, SMBC offers a competitive portfolio of benefits...communications. + Experience working for a non-U.S. bank / broker dealer is highly desirable. + Familiarity… more
- Hold Brothers (New York, NY)
- …- dealer experience working in Operations and/or Finance as a FINOP or Finance management position at a self-clearing broker - dealer + Expert knowledge of ... Job: Hold Brothers Capital, LLC, a leading self-clearing proprietary broker - dealer , is seeking an EVP of Finance...including but not limited to Operations, Finance, Compliance, Risk Management , Cash Management , and Treasury… more
- JPMorgan Chase (New York, NY)
- …including supporting global incidents + Support team on any other Ops requirements such as Broker Dealer and Cash Projections + Work with Service lead and ... capabilities, and skills** + A strong understanding of clearing / central bank cash and Cash Management JPMorgan Chase & Co., one of the oldest financial… more
- PNC (Pittsburgh, PA)
- …funding and treasury management related requirements for the Capital Market's broker dealer business. * Support the organization's daily, monthly, quarterly, ... * Assist with daily regulatory capital monitoring and treasury management functions for the broker dealer...quarter-end and year-end closing activities related to foreign exchange, cash management and tax, and subsidiary regulatory… more
- SMBC (New York, NY)
- …team serves as a regulatory advisory function and is responsible for overseeing the management of the broker dealer 's compliance risk, and is represented ... for an annual discretionary incentive award. In addition to cash compensation, SMBC offers a competitive portfolio of benefits...Core Competencies/Skills: + Extensive Compliance Advisory experience at a broker dealer . + Strong knowledge in US… more
- SMBC (New York, NY)
- …team serves as a regulatory advisory function and is responsible for overseeing the management of the broker dealer 's compliance risk, and is represented ... for an annual discretionary incentive award. In addition to cash compensation, SMBC offers a competitive portfolio of benefits...and Skills** + Extensive Compliance Advisory experience at a broker dealer covering fixed income and/or fixed… more
- Capital One (New York, NY)
- …Manager The Compliance Advisor Senior Manager will report directly to the Commercial Broker Dealer Chief Compliance Officer. This role will support three ... risk management framework. The Compliance Advisor Senior Manager also assists the Broker Dealer CCO in keeping abreast of new and updated financial industry… more
- SMBC (Jersey City, NJ)
- …scope of this function will encompass SMBC Group's Americas Division, inclusive of US broker dealer and registered swap dealer ; SMBC Group's wholesale and ... for an annual discretionary incentive award. In addition to cash compensation, SMBC offers a competitive portfolio of benefits...focus of this role will be on the US broker dealer and US swap dealer… more
- TD Bank (Greenville, SC)
- …TD Private Client Wealth,(TDPCW), a US registered Investment Advisory Service and a US Broker Dealer and TD Wealth Management Services Inc.(TDWMSI), with a ... and suitability for and trades executed in the TDPCW Broker Dealer and Registered Investment Advisor, as...to communicate effectively with all levels of staff and management * Ability to prioritize and multi-task with a… more
- SMBC (Jersey City, NJ)
- …to its employees. **Overview** SMBC Nikko Securities America, Inc, a registered broker dealer , provides investment securities and other financial services to ... reporting process and related internal control framework + Knowledge of securities broker dealer business, financial products and regulatory reporting (SEA… more
- SMBC (Jersey City, NJ)
- …its employees. **Role Description** SMBC Nikko Securities America, Inc, a registered broker dealer , provides investment securities and other financial services ... for an annual discretionary incentive award. In addition to cash compensation, SMBC offers a competitive portfolio of benefits...financial service industry + 2+ years of financial reporting ( broker dealer experience is a strong plus)… more
- Tradeweb (Jersey City, NJ)
- …Accounting department. The ideal candidate will have extensive knowledge of broker dealer operations, securities regulations, and financial reporting standards. ... data + Daily revenue tracking for estimates and internal management queries + Prepare ad hoc requests from Dealerweb...+ 5+ years of experience in securities accounting and/or broker dealer operations within the financial services… more
- SMBC (Jersey City, NJ)
- …on technical regulatory issues involving our New York Branch, Bank Holding Company, broker / dealer and other affiliates. This is a hybrid role, with current ... for an annual discretionary incentive award. In addition to cash compensation, SMBC offers a competitive portfolio of benefits...of regulatory rules for our banks, bank holding and/or broker / dealer , as well as knowledge to challenge… more
- TD Bank (New York, NY)
- …accordance with Firm policy and regulatory requirements. TD has been growing its US Broker Dealer activities over the last few years both organically and through ... Location** : United States of America **Hours:** 40 **Line of Business:** Business Management , Strategy & Support **Pay Detail:** $175,000 - $200,000 USD TD is… more
- SMBC (Jersey City, NJ)
- …Description** The SMBC Compliance Department monitors the corporate banking, investment banking and broker dealer activities of SMBC Group and reports on the ... administers the SMBC Employee Investment Policy, arranges for the registration of broker - dealer personnel, and conducts compliance training. In addition, the… more
- Motion Recruitment Partners (New York, NY)
- …will have experience working in a collaborative work environment for a financial services/RIA/ Broker Dealer firm and have a passion for delivering outstanding ... RIA & BD clients * Work with client types including direct/retail investors, broker dealer platforms, institutions and advisors * Support client communication… more