- Capital One (New York, NY)
- NYC 299 Park Avenue (22957), United States of America, New York, New York Commercial Broker Dealer Chief Compliance Officer - Sr. Director The Sr. ... Director will be the Commercial Broker Dealer Chief Compliance Officer ("BD CCO") for three institutional FINRA registered broker -dealers and provide… more
- Scotiabank (New York, NY)
- …every future! **Purpose:** Acts as the Chief Compliance Officer for the US broker dealer and Head of Corporate Functions Compliance, The role will lead and ... Director, SCUSA CCO, Head of Broker Dealer & Corporate Functions Compliance...policies and procedures. + Performs the duties of a Chief Compliance Officer, as required by FINRA and SEC… more
- SMBC (New York, NY)
- …as a regulatory advisory function and is responsible for overseeing the management of the broker dealer 's compliance risk, and is represented by the Chief ... relationships in Asia, the Group offers a range of commercial and investment banking services to its corporate, institutional,...Core Competencies/Skills: + Extensive Compliance Advisory experience at a broker dealer . + Strong knowledge in US… more
- SMBC (New York, NY)
- …advisory function to the President and is responsible for overseeing the management of the broker dealer 's compliance risk and is represented by the Chief ... relationships in Asia, the Group offers a range of commercial and investment banking services to its corporate, institutional,...solid foundation in US securities laws and regulations and broker dealer operations. + Ability to communicate… more
- SMBC (New York, NY)
- …credit officers and our clients. The individual will support activities within our swap dealer and broker dealer businesses including derivatives, FX, repo ... relationships in Asia, the Group offers a range of commercial and investment banking services to its corporate, institutional,...and Hong Kong. SMBC CM is an established derivatives dealer with a broad product portfolio, with specific emphasis… more
- JPMorgan Chase (New York, NY)
- …office on continued evolution of the IDL Dashboard + Partner with the broker / dealer and other Treasury teams to drive transparency and anticipate liquidity ... Treasury and Chief Investment Office is responsible for firm-wide asset...leader in investment banking, consumer and small business banking, commercial banking, financial transaction processing and asset management. We… more