- Citigroup (New York, NY)
- **Position Overview:** Citi's Global Broker - Dealer Legal Entity Treasury team is seeking a highly qualified AVP candidate to support Broker - Dealer ... and oversight requirements within the Treasury organization. **Team Description:** The Global Broker - Dealer Legal Entity Treasury team within the… more
- JPMorgan Chase (New York, NY)
- …Cash Equities Attorney. As a Broker - Dealer & Cash Equities Attorney within the Broker - Dealer & Cash Equities Legal group , you will provide legal ... You will report directly to the Head of the Broker - Dealer & Cash Equities Legal ...firm, and advises the firm on other matters. Our global team is made up of 2,000 lawyers and… more
- Bank of America (New York, NY)
- …variety of legal issues. Knowledge of the US securities laws, broker - dealer regulations, and banking regulations impacting the business, including issues ... matters related to the Global Banking and Global Markets businesses. Key responsibilities include reviewing legal...5+ years (law firm, regulatory and/or in-house) of direct broker - dealer / capital markets legal … more
- Bank of America (Jersey City, NJ)
- …reporting teams. The Regulatory Reporting Controller II role is within the GRR Broker Dealer organization responsible for the preparation of Regulatory Reporting ... computations - Prepares and reviews trend and analytical reporting related to Broker Dealer computations - Works with internal controls functions and… more
- Bank of America (New York, NY)
- …financing and asset-backed lending. + Provide regulatory advice regarding margin rules and broker dealer regulation relating to such products. + Follow and help ... and regulatory matters related to the Global Banking and Global Markets businesses. Key responsibilities include reviewing legal documents, interpreting… more
- Bank of America (New York, NY)
- …and ensure Risks identified are reflected across all scenarios + Lead EFR coverage of SEC broker dealer net capital rules and CFTC swap dealer capital rules, ... and developing talent, advancing careers, and creating leaders within Global Risk Management and across the company. Our goal...capital management activities, including capital planning and forecasting for broker dealer and swap dealer … more
- JPMorgan Chase (Jersey City, NJ)
- …manner + Knowledge of applicable laws and regulatory requirements related to broker - dealer and fiduciary activities + Knowledge of various financial instruments, ... forums. **Job responsibilities** + Lead and participate in audit engagements, including global audits, from planning to reporting. Ensure the production of quality… more
- US Bank (New York, NY)
- …Include** - Advise on secondary market trading matters - Review broker - dealer transactional agreements, including securities lending and repurchase agreements ... Advanced knowledge and experience with structured lending, securities, bank regulation, broker - dealer regulation, and other pertinent laws and regulations,… more
- TD Bank (New York, NY)
- …routine and ad hoc filings related to complaints, reportable issues, disclosures, and broker dealer requirements. + Respond to regulatory inquiries related to ... their regulatory risk. **Responsibilities:** + Oversee the registration requirements for four broker -dealers, the swap dealer , and the security-based swap … more
- Broadridge Financial Solutions (New York, NY)
- …Solutions division is bringing a suite of data-driven technology solutions to broker dealer , mutual fund, retirement, insurance, and asset management firms. ... to C-level stakeholders. + Knowledge of Financial Services Industry, ideally specific to broker dealer markets with operations expertise. + 10+ years in within… 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 ... process ongoing activity + Work with client types including direct/retail investors, broker dealer platforms, institutions and advisors + Support client… more
- JPMorgan Chase (New York, NY)
- …+ ETF experience and in-house legal experience. + Experience advising on broker - dealer issues. + Expertise in complex transactions and index management. + ... industry. As an Attorney in the JPMorgan Asset Management legal team, you will provide comprehensive legal ...firm, and advises the firm on other matters. Our global team is made up of 2,000 lawyers and… more
- Broadridge Financial Solutions (Newark, NJ)
- …field, or equivalent practical experience. + Demonstrated experience in back-office operations; Broker - Dealer exposure (BBD) highly preferred. + Proven skill in ... Committees, contractual obligations and client issue resolution + Liaising Finance, Billing, Legal and other service teams to ensure client obligations are met +… more
- Citigroup (New York, NY)
- …Global platform includes Prime Brokerage and Swap offerings across US and international broker dealer and bank chain entities. + Client portfolios comprise of ... and escalating emerging risks - credit, market, operational or legal - to senior management and Global ...or legal - to senior management and Global Prime Finance IBR Head. Continuously assessing and adapting… more
- Citigroup (Jersey City, NJ)
- …rules and regulations + Demonstrated knowledge in area of focus including, Broker Dealer Information Barriers, Corporate and Investment Banking, Capital Markets, ... Compliance Risk Management (ICRM)'s Control Room team. The ICRM Global Surveillance platform encompasses a number of Surveillance/Control related portfolios… more
- Mizuho Corporate Bank (New York, NY)
- …regulatory rules and will contribute analysis and translation of various Broker - Dealer regulatory requirements in collaborations with other stakeholders (eg, ... the local expertise of our employees that makes our global network so powerful. By collaborating with colleagues and...the team plays a key role (in collaboration with legal , compliance, IT, etc) in the analysis, requirements specifications,… more
- Motion Recruitment Partners (New York, NY)
- …Stress Testing/ CCAR. + Risk & Controls experience. + Strong Understanding of Broker dealer Front office operations and Products. + Proficiency using MS ... $91/hr - $98/hr Grow your career with an innovative global bank in New York, NY as a Model...and post-tax options + Paid Sick Time Leave + Legal and Identity Protection Plans + Pre-tax Commuter Benefit… more
- BMO Financial Group (New York, NY)
- …& sales activities and applicable regulations surrounding them. + Knowledge of the Broker Dealer and Banking Regulations, which include but not limited to ... tests that the First Line of Defense responsibilities outlined in the Legal Regulatory Compliance Risk Management (LRCRM) Policy, the Enterprise Compliance Program,… 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 ... adequacy of inputs into capital planning processes and accuracy of management, legal entity and liquidity reporting. Job responsibilities + Plan, execute and… more