- SMBC (New York, NY)
- …well organized with project management skills. + Regulatory compliance experience at a broker dealer and or swap dealer preferred. BA/BS required. Series ... Critical Job Knowledge and Core Competencies/Skills: + Extensive Compliance Advisory experience at a broker dealer and or swap dealer . + Strong knowledge in… more
- Wells Fargo (New York, NY)
- …risk. + Experience with assessing risk and controls related to Travel Rule and/or Broker Dealer compliance. **Job Expectations:** + Ability to travel up to 10% ... financial crimes. The Financial Crimes Audit Team is responsible for testing governance and coordinating first line audit coverage of Anti-Bribery and Corruption… more
- SMBC (Jersey City, NJ)
- …representative offices; Grand Cayman Branch; Canada Branch; Brazilian banking subsidiary; US broker dealer and registered swap deal; and certain non-bank leasing ... looking to hire a Financial Crime Compliance ("FCC") Program Governance Associate reporting to a VP of FCC Program...archives via SharePoint. 8. Stay abreast of the changing regulatory landscape. 9. This role may also be required… more
- Wells Fargo (New York, NY)
- …Careers Site at Wellsfargo.com/career. **In this role, you will:** + Advise on broker - dealer regulatory matters, including FINRA and SEC related requirements ... Fargo is seeking a Senior Counsel in the CIB Regulatory Legal and Governance Section of the...to support CIB businesses and support teams on securities regulatory issues, broker - dealer matters and… more
- SMBC (Jersey City, NJ)
- …and related internal control framework + Knowledge of securities broker dealer business, financial products and regulatory reporting (SEA 15c3-1) + Strong ... will be responsible for SMBC Nikko Securities America, Inc, a registered broker dealer , which provides intvestment securities and other financial services… more
- TD Bank (New York, NY)
- …training.** + **Experience responding to client complaints within a bank or broker - dealer .** + **Experience reviewing and providing guidance on advertising and ... senior management of the Bank with respect to significant regulatory compliance risk matters. + Empowered to make prudent...marketing materials for a broker - dealer /bank.** + **Prior testing, audit or business… more
- Bank of America (New York, NY)
- …law firm and/or in house at a financial company + Experience with broker dealer regulations, Prime Finance, ISDA-based OTC equity derivatives, Securities lending ... Securities Lending, Clearing and Settlement, and OTC derivatives. Provides advice on broker - dealer regulations, new and existing products or services related to… more
- Mizuho Corporate Bank (New York, NY)
- …designed to add value and improve Mizuho Bank's US operations including derivative activities, broker dealer and swap dealer businesses. Based in the New ... areas of the bank to evaluate the effectiveness of risk management and governance processes. Along with its counterparts in London, Hong Kong and Singapore, IADA… more
- TD Bank (New York, NY)
- …equivalent experience at a regulatory body (eg, leading a bank or broker / dealer exam team). + Surveillance experience at Financial Market Regulator (eg, SEC, ... that alert review processes align with firm requirements and global regulatory expectations. **Department Overview:** Our team of trusted Surveillance Compliance… more
- Santander US (New York, NY)
- …of the US Fixed Income trading/ regulatory framework, including FINRA, SEC broker dealer regulations and other relevant bank regulations; knowledge of FRB, ... and assist in the preparation of management information reporting and governance materials; Ensure timely regulatory filings and certifications. Qualifications:… more
- Scotiabank (New York, NY)
- …years of compliance experience, including experience providing advisory support to a broker - dealer equities sales and trading business. + Knowledge of relevant ... management and US Compliance personnel on relevant compliance issues, the regulatory environment, and Compliance Department initiatives by actively participating in… more
- JPMorgan Chase (Jersey City, NJ)
- …requirements (eg, 12 CFR 9) related to asset management, investment advisor, broker - dealer and fiduciary activities. + Knowledge of various financial ... is your opportunity to play a crucial role in enhancing our organization's governance and operational excellence! As an Audit Manager within our Asset Management… more
- JPMorgan Chase (Jersey City, NJ)
- …and technology risks in an integrated manner + Knowledge of applicable laws and regulatory requirements related to broker / dealer and fiduciary activities + ... to play a crucial role in enhancing our organization's governance and operational excellence! As an Audit Manager on...to date with evolving industry trends, external news and regulatory changes, and analyze the impact to the business… more
- Wells Fargo (New York, NY)
- …regional broker dealers, derivative operations that support its Swap Dealer (WFBNA) including regional branches, and its Global Payments Services, Mortgage ... and CIB Control for Rates + Represent Trade Surveillance on various governance forums + Actively participate in risk assessments and parameters setting activities… more
- Citigroup (New York, NY)
- …proposals and new financial product proposals in Fixed Income Credit and Broker Dealer and Banking products, and provide independent liquidity risk ... and cashflow trends in the economic environments. Enhance firm-wide liquidity risks governance frameworks to improve responsiveness to changes in the regulatory … more
- Mizuho Corporate Bank (New York, NY)
- …to add value and improve Mizuho Bank's US operations including the derivatives and broker dealer businesses. Based in the New York Metro area, IADA staff ... areas of the bank to evaluate the effectiveness of risk management and governance processes. Along with its counterparts in London, Hong Kong and Singapore, IADA… more
- SMBC (Jersey City, NJ)
- …Group's wholesale and retail banking operations; US and LATAM representative offices; US broker dealer and registered swap deal; Cayman Branch; Canada Branch; ... also participate in the preparation of key metrics to evaluate the governance of the Controls Inventory. **Role Objectives** Primary Responsibilities: + Assist in… more