- SMBC (New York, NY)
- …in real time as business is conducted and transactions are executed. **Role Objectives** The Broker Dealer Regulatory Governance Advisory Team within the ... and reporting. Regulatory Engagements: The Regulatory Governance Team supports SMBC's Broker - dealer entity in managing regulatory exams and… more
- Charles Schwab (Westlake, TX)
- …of governance processes, risk management, and internal controls. The Broker - Dealer /Asset Management enterprise team is seeking an Internal Audit Manager. ... 5-7+ years of financial services-related audit experience with growing responsibility. Broker Dealer /Asset Management experience and/or Big 4 Accounting… more
- Charles Schwab (Westlake, TX)
- …the efficiency of governance processes, risk management, and internal controls. The Broker Dealer Asset Management (BDAM) Audit Team is seeking a Senior IT ... by evaluating and improving the efficiency of risk management, control, and governance processes. This position will focus on application technology risks within the… more
- Regions Bank (Atlanta, GA)
- …unless required by law. Such information will be stored in accordance with regulatory requirements and in conjunction with Regions' Retention Schedule for a minimum ... Five (5) years banking experience, with a concentration in audit, compliance or regulatory functions **Skills and Competencies** + Ability to analyze data and facts… more
- Santander US (Miami, FL)
- …controls related to the Swap Dealer (eg Dodd Frank/EMIR/MiFid) and coverage for Broker Dealer controls in coordination with the controls Team. Act as back up ... controls to mitigate such risks. Capable of learning back up controls for the Broker Dealer where needed. Knowledge of Sentinel/Bloomberg. * In depth knowledge… more
- Vanguard (Malvern, PA)
- …high-impact legal agreements-from securities lending and repurchase transactions to broker / dealer trading and platform documentation. You'll partner with ... various legal documents for securities lending, repurchase agreements, as well as broker / dealer trading and platform agreements and supporting documentation. +… more
- SMBC (New York, NY)
- …frameworks - Track regulatory developments and interpret implications for swap dealer governance , reporting, and risk controls New Business and Issue ... dealer , and Nikko Risk - Lead issue governance , tracking, and compile closure packs of regulatory...estimation, documentation and internal controls). - Strong understanding of regulatory requirements applicable to Swap- Dealer , Broker… more
- SMBC (New York, NY)
- …- Track regulatory developments and interpret implications for swap dealer governance , reporting, and risk controls **Qualifications and Skills** ... entity. This role will focus heavily on issue management, governance coordination, reporting and execution of key regulatory...years of experience in risk management, counterparty risk, risk governance , broker - dealer risk, or swap… more
- SMBC (Charlotte, NC)
- …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
- Wells Fargo (Charlotte, NC)
- …statutory disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing ... Execution Consultant to support Corporate & Investment Banking Model Governance execution. The Corporate & Investment Banking (CIB) Model... regulatory obligations, which include periodic screening and mandatory reporting… more
- Wells Fargo (Charlotte, NC)
- …services industry experience + Experience in branch office supervision, compliance, broker - dealer governance , sales supervision **Job Expectations:** + ... ensure the firms' requirements for supervision are in adherence with regulatory , compliance and legal requirements. The Senior Supervisory Control Specialist… more
- SMBC (Jersey City, NJ)
- …knowledge of US regulatory rules, including capital requirements across banking, broker / dealer , and swap dealer entities. + Review and challenge ... issues involving our New York Branch, Bank Holding Company, broker / dealer , swap dealer and other...obligations to build firm-wide awareness and expertise. + Ensure governance and control standards are met for regulatory… more
- TD Bank (New York, NY)
- …JD desirable but not required. + 5-7 years of experience with a registered US broker dealer , swap dealer , Global Systematically Important Bank (GSIB), or ... a team(s) of specialists/professionals providing advice, guidance and expertise on regulatory requirements and assisting business units to manage their regulatory… more
- CGI Technologies and Solutions, Inc. (Jersey City, NJ)
- …role:** . 10+ years' experience in the capital markets financial industry (Bank/FBO/ Broker Dealer ). . Extensive experience with Adenza/Axiom Controller View ... **Business Analyst - Regulatory Reporting** **Category:** Business Analysis (functional and technical) **Main location:** United States, New Jersey, Jersey City… more
- Huntington National Bank (Boston, MA)
- …Proactively build relationships with regulators and act as the liaison for all broker - dealer regulatory inquiries and examinations. + Advise and collaborate ... partners with senior leaders to ensure there is effective governance and controls that operate within the enterprise Compliance...Legal. Basic Qualifications: + Bachelor's degree + Experience as broker dealer Chief Compliance Officer or lead… more
- TD Bank (Mount Laurel, NJ)
- …training requirements a plus.** + **Knowledge of current and emerging trends, including broker - dealer and RIA regulatory expectations and standards for ... + **Knowledge and experience within compliance or audit, legal and regulatory environment, enterprise governance framework, products and services, policies,… more
- MUFG (New York, NY)
- …to the team from planning to resolution + Identify Key Data Elements across the broker dealer entity and key regulatory reports and ensure data quality ... more details. **Responsibilities:** + As part of the Data Governance team work across various pillars of the data...personnel to determine MSIIs / audit points. Assist the broker dealer entity in correctly Identifying the… more
- Ventura County (Ventura, CA)
- …Analysis - Fundamental knowledge of credit risk assessment, issuer evaluations, and broker / dealer compliance requirements. + Technology and Investment Systems - ... investment strategies accordingly. + Negotiation & Relationship Management - Managing broker - dealer relationships to ensure best execution and favorable pricing… more
- GE Vernova (New York, NY)
- …compliance obligations for regulated securities transactions arranged through a registered Broker - Dealer and Financial Industry Regulatory Authority (FINRA) ... Summary** GE Vernova's Ethics & Compliance Team is seeking an experienced regulatory compliance professional that will partner with GE Vernova's Financial Services… more
- SMBC (Jersey City, NJ)
- …expert in the Regulatory Reporting Automation for BHC, Branch, Liquidity or Broker Dealer regulatory reports. This position will provide leadership to ... but not limited to reports such as the FRB reports, knowledge of broker - dealer reporting, liquidity reporting, etc.) + Experience in capital markets asset… more