- SMBC (New York, NY)
- …Product, Underwriting, Risk Management, Compliance , IT Risk and Training committees. The Compliance Advisory Director role may manage a coverage area or ... within area of expertise. Reports directly to the Head of Private Side Compliance Advisory for SMBC Nikko Securities Inc. **Role Objectives** + Responsible… more
- SMBC (New York, NY)
- …SMBC offers a competitive portfolio of benefits to its employees. **Role Description** The Advisory Compliance team serves as a regulatory advisory function ... **Qualifications and Skills** Critical Job Knowledge and Core Competencies/Skills: + Extensive Compliance Advisory experience at a broker dealer. + Strong… more