- 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
- Citigroup (Getzville, NY)
- …taking minutes, and ensuring follow-up requests are addressed for forums such as CBNA ALCO Broker Dealer ALCO, and regulatory engagement + Ensure the right ... sheet for US Bank Chain Entities, US and Consolidated Broker Dealer Entities, and Hold Co. Entities....methodologies, models, and rules, and oversees the execution of governance frameworks, policies, and standards. A core part of… more
- SMBC (New York, NY)
- …the Data Governance field for a Financial Institution (eg Bank Holding Company, broker dealer , swap dealer ) with focus on: documenting data requirements ... Nikko America's Data Management and Analytics Group, the Data Governance Analyst will be primarily responsible for supporting the...role will support both SMBC Nikko Securities America, Inc. ( Broker - Dealer ) and SMBC Capital Markets, Inc. (Swap… more
- TD Bank (New York, NY)
- …for this role. **Job Description:** **Position Title:** Vice President, US Finance, Broker Dealer Regulatory Reporting **Hiring Contact:** Christine Jenkins, ... reports directly to the Director who runs the US Broker Dealer Regulatory Team. The...would be a key contributor enhancing and controlling the governance framework. + Supervise the Finance Regulatory … more
- TD Bank (New York, NY)
- …+ **Knowledge and experience within compliance or audit, legal and regulatory environment, enterprise governance framework, products and services, policies, ... training.** + **Experience responding to client complaints within a bank or broker - dealer .** + **Experience reviewing and providing guidance on advertising and… 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
- SMBC (New York, NY)
- …counterparty exposure estimation, documentation, and reporting approaches) 2. Familiarity with regulatory requirements for Swap- Dealer , Broker - Dealer ... the Head of Market and Liquidity Risk. **Role Objectives: Delivery** **Committee Governance ** 1. Collaborate on developing and enhancing market risk management and… 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
- Wells Fargo (Rochester, NY)
- …+ 2+ years of financial services industry experience + Experience in compliance or broker - dealer governance **Job Expectations:** + US only: Obtaining and/or ... through meaningful statistics + Develop expertise in firm, compliance and regulatory policies and procedures + Collaborate and consult with Financial Advisors,… 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
- Wells Fargo (New York, NY)
- …Markets experience **Desired Qualifications:** + Knowledge and understanding of institutional broker / dealer trading practices across a vast array of products ... solution design, system implementation/upgrade, vendor assessment/selection, new product design, regulatory compliance and issue resolution, process improvement and redesign… 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