- M&T Bank (Baltimore, MD)
- …first line of defense risk management responsibilities of the Investment Bank and Institutional Broker - Dealer in accordance with the Enterprise Risk ... Executive and Leadership team on risk and control topics impacting the Institutional Broker - Dealer , Corporate Securities Underwriting, and Syndications/… more
- 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 ... Critical Job Knowledge and Core Competencies/Skills: + 4-7 years of regulatory and/or advisory compliance experience at a broker dealer . + A solid foundation… 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
- Marex (New York, NY)
- …and maintenance of client static data in order to improve efficiencies and Compliance reporting. + Ensuring compliance with the company's regulatory requirements ... responsibility + To report any breaches of policy to Compliance and/ or your supervisor as required + To...a customer's applicable profile; eg Professional Trader, Hedge Fund, Institutional Investor + Strong understanding of FinCEN, FATCA and… more
- Arena Investors LP (Jacksonville, FL)
- …at a SEC-registered investment adviser (primarily private credit exposure); . Experience with broker - dealer compliance (ideally Series 7 or Series 14 ... Arena Investors, LP ("Arena") is a global institutional asset manager that provides creative solutions for...and procedures; . Administration of firm (Investment Adviser and Broker - Dealer ) annual compliance review (testing… 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 ... of commercial and investment banking services to its corporate, institutional , and municipal clients. It connects a diverse client...various US entities according to candidate's skills set (eg, broker dealer or lending). + Learn how… more
- Capital One (Mclean, VA)
- …compliance testing for Commercial Banking (includes commercial lending, treasury management, institutional broker -dealers and CFTC swap dealer ), Corporate ... Senior Director, Compliance Test Lead for Commercial Banking, Corporate Functions...Qualifications:** + Master's degree + 10+ years of US broker - dealer , swap dealer and/or financial… more
- TD Bank (New York, NY)
- …but not required + 5 or more years of experience with a registered US broker dealer , swap dealer , Global Systematically Important Bank (GSIB), or associated ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $110,000 - $135,000 USD TD is...or more years of experience with a registered US broker dealer or regulator. + JD desirable… 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
- 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 ... New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $180,000 - $225,000 USD TD is committed to providing fair… more
- Cleveland Research Company (Cleveland, OH)
- … Officer in identifying and mitigating potential conflicts and risks associated with a Broker Dealer firm. Our Compliance Department develops and maintains ... Compliance Associate Cleveland Research Company is an independent...Cleveland Research Company, LLC, an equity research firm and Broker Dealer registered in Cleveland, Ohio, is… more
- TD Bank (New York, NY)
- …JD desirable but not required. + 7 years of experience with a registered US broker dealer , swap dealer , Global Systematically Important Bank (GSIB), or ... New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $140,000 - $185,000 USD TD is committed to providing fair… 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 ... New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $180,000 - $225,000 USD TD is committed to providing fair… more
- TD Bank (New York, NY)
- …experience **Preferred Qualifications:** + 5-7 years of experience with a registered US broker dealer , swap dealer , Global Systematically Important Bank ... New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $140,000 - $180,000 USD TD is committed to providing fair… more
- Raymond James Financial, Inc. (Seattle, WA)
- …_About Raymond James:_ _RJA is an investment adviser and full-service broker - dealer dually registered with the Securities and Exchange_ _Commission. ... Inc." and "Alex. Brown, a Division of Raymond James."_ _RJA serves as a clearing broker - dealer and custodian for many of our affiliated broker - dealer /… more
- Charles Schwab (Westlake, TX)
- …and compliance functions for Schwab's registered domestic and international broker -dealers and registered retail and institutional investment advisors. The ... controls. The department is split into five Enterprise Teams: Technology, Broker - Dealer /Asset Management, Bank, Corporate, and Professional Practices. All… more
- Charles Schwab (Westlake, TX)
- …and compliance functions for Schwab's registered domestic and international broker -dealers and registered retail and institutional investment advisors. The ... controls. The department is split into five Enterprise Teams: Technology, Broker - Dealer /Asset Management, Bank, Corporate, and Professional Practices. All… more
- TD Bank (New York, NY)
- …**Preferred Qualifications:** + 7 or more years of experience with a registered US broker dealer , regulator, or global financial organization. + JD desirable but ... New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $145,000 - $185,000 USD TD is committed to providing fair… 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 ... to JPMorgan Chase. As part of Risk Management and Compliance , you are at the center of keeping JPMorgan...businesses and many of the world's most prominent corporate, institutional and government clients under the JP Morgan and… more