- JPMorgan Chase (New York, NY)
- …capabilities and skills** + Strong experience and familiarity with broker - dealer cash equities legal, regulatory and compliance issues, broker ... Group within the Corporate & Investment Bank as a Broker - Dealer & Cash Equities Attorney. As a...trading businesses. You will work closely with the business, compliance , other internal control functions, internal and external legal… more
- 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,...Core Competencies/Skills: + 4-7 years of regulatory and/or advisory compliance experience at a broker dealer… more
- JPMorgan Chase (Columbus, OH)
- …organization with demonstrated financial services experience. + Experience in broker - dealer and investment advisory matters, including knowledge of ... on the US Wealth Management and Product Legal teams and collaborate with Compliance , Risk and Controls functions to ensure comprehensive and effective support. The… more
- Capital One (Mclean, VA)
- …planning for compliance testing for Commercial Banking (includes commercial lending, treasury management, institutional broker -dealers and CFTC swap ... Senior Director, Compliance Test Lead for Commercial Banking,...Qualifications:** + Master's degree + 10+ years of US broker - dealer , swap dealer and/or financial… more
- City National Bank (New York, NY)
- … Compliance roles, experience with a financial institution such as a broker / dealer and/or registered investment adviser. * For Wealth Management Compliance ... * COMPLIANCE OFFICER SENIOR-REGISTERED INVESTMENT ADVISOR* *WHAT IS THE OPPORTUNITY?* The Senior Compliance Officer will act in a compliance oversight and… more
- Huntington National Bank (Columbus, OH)
- …Financial Advisors (HFA), Huntington Securities Incorporated (HSI), and Capstone Partners broker - dealer compliance program functions including implementation ... with the Business, Legal and Risk partners across the Commercial and Consumer segments to achieve Compliance ...Legal. Basic Qualifications: + Bachelor's degree + Experience as broker dealer Chief Compliance Officer… 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 / ... Head of Product, Commercial Bank Capital Markets **Capital Markets | Head...opportunity employer (EOE, including disability/vet) committed to non-discrimination in compliance with applicable federal, state, and local laws. Capital… more
- GE Vernova (New York, NY)
- …capital markets products and services, including third-party fundraising and management. + Broker - Dealer Compliance : Coordinate and execute compliance ... Officer in New York, NY. **Job Description** **Essential Responsibilities** _Development Compliance Risk Management_ : Partner with FS' commercial resources and… 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 ... relationships in Asia, the Group offers a range of commercial and investment banking services to its corporate, institutional,...various US entities according to candidate's skills set (eg, broker dealer or lending). + Learn how… more
- JPMorgan Chase (Jersey City, NJ)
- …in financial services industry + Exposure to capital planning (CCAR), broker - dealer and bank regulatory reporting, and Treasury/liquidity reporting processes ... governance and operational excellence! As a Senior Internal Audit Associate on the Commercial and Investment Banking Finance Audit team, you will be involved in all… more
- JPMorgan Chase (Jersey City, NJ)
- …in financial services industry + Exposure to capital planning (CCAR), broker - dealer and bank regulatory reporting, and Treasury/liquidity reporting processes ... Audit and across the firm! As a Senior Internal Auditor, Associate on the Commercial and Investment Banking Finance Audit team, you will be involved in all stages… more
- SMBC (New York, NY)
- …role within the Financial Institutions Group will be responsible for Banks and Broker Dealer client coverage, including all aspects of client development, new ... the origination and execution of transactions with Banks and Broker Dealer clients + Work closely across...of general elements of credit risk as well as legal/ compliance related to Bank and Broker Dealers… more
- JPMorgan Chase (New York, NY)
- …of cryptocurrency and other digital assets. You will be experienced in Bank and/or Broker / Dealer Compliance and be responsible for developing and overseeing ... Bring your expertise to JPMorgan Chase. As part of Risk Management and Compliance , you are at the center of keeping JPMorgan Chase strong and resilient. You help the… more
- JPMorgan Chase (Jersey City, NJ)
- JPMorgan Securities LLC (JPMS LLC) is a licensed broker - dealer and investment adviser registered with the SEC and FINRA. It is also a Municipal Securities ... Dealer , Futures Commission Merchant, Commodity Pool Operator, and registered...the opportunity to collaborate with senior stakeholders and drive compliance initiatives that impact our business worldwide. As a… 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; ... Counsel, Inc., a subsidiary of Dunham, is an independently owned, registered Broker / Dealer and Investment Adviser helping Financial Advisors and individual… more
- Citigroup (Miami, FL)
- …supervisory issues escalated + Review and approval of designated bank-channel and broker - dealer investments + Manage surveillance alerts within stated policy ... 24 and 31. Series 9/10 also preferred + Knowledge of Bank and Broker - Dealer businesses, regulatory requirements and related policy + Knowledge of Investment… more
- JPMorgan Chase (Columbus, OH)
- …from further analysis, and develop actionable recommendations. + Specific knowledge of core broker - dealer systems, operation of common broker - dealer ... leadership. + Collaborate with internal technology, operations, legal, risk, and compliance partners to develop requirements for the target operating model and… more
- Siebert Williams Shank (New York, NY)
- …investment-grade corporate debt, a national leader in public finance investment banking, a named dealer on more than 50 commercial paper programs, and a seasoned ... platform, and a sound regulatory capital base. We are a SEC-registered securities broker - dealer and member of the Financial Industry Regulatory Authority (FINRA)… more
- Siebert Williams Shank (Chicago, IL)
- …investment-grade corporate debt, a national leader in public finance investment banking, a named dealer on more than 50 commercial paper programs, and a seasoned ... platform, and a sound regulatory capital base. We are a SEC-registered securities broker - dealer and member of the Financial Industry Regulatory Authority (FINRA)… more
- Citigroup (New York, NY)
- …+ Knowledge of and experience covering the financial intermediary (bank, broker - dealer , clearinghouse, etc.) client base, preferably within an Investor ... Responsibilities The successful candidate will maintain ownership of key commercial relationships, with responsibilities including, but not limited to: +… more