- Capital One (Mclean, VA)
- Center 2 (19050), United States of America, McLean, Virginia Commercial Broker Dealer Compliance Advisor - Senior Manager The Compliance Advisor ... Senior Manager will report directly to the Commercial Broker Dealer Chief Compliance Officer. This role will support three institutional FINRA registered… more
- JPMorgan Chase (New York, NY)
- …liquidity risk, market risk and/or trading of fixed income products. Experience in Broker Dealer products such as Prime Brokerage, Margin loans, client shorts, ... to JPMorgan Chase. As part of Risk Management and Compliance , you are at the center of keeping JPMorgan...respect to potential liquidity risk implications within the firm's broker - dealer business. You will continuously assess emerging… more
- US Bank (Minneapolis, MN)
- …in the following areas: * Wealth Management laws and regulations (eg, Broker Dealer , Trust Services, Wealth Management, Securities and Exchange Commission ... Wealth Operations, Private Banking) * Capital Market laws and regulations (eg, Broker Dealer , Trust Services, Wealth Management, SEC Regulations, FINRA… 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,...+ Extensive Compliance Advisory experience at a broker dealer . + Strong knowledge in US… more
- SMBC (New York, NY)
- …scope of this function will encompass SMBC Group's Americas Division, inclusive of US broker dealer and registered swap dealer ; SMBC Group's wholesale and ... relationships in Asia, the Group offers a range of commercial and investment banking services to its corporate, institutional,...focus of this role will be on the US broker dealer and US swap dealer… more
- Scotiabank (New York, NY)
- …**What You'll Bring:** + A minimum of 3-4 years with a bank or broker - dealer + Foundational understanding of securities laws and regulations pertaining to ... Manager, CIB & Research Compliance Officer **Requisition ID:** 193847 **Salary Range:** 85,700.00...broker -dealers, including an understanding of requirements for information barriers,… more
- SMBC (White Plains, NY)
- …of systems to support the Compliance department covering our Swap Dealer (Interest Rate Derivatives) and Broker Dealer (Securities) buinsesses. ... value of its relationships in Asia, the Group offers a range of commercial and investment banking services to its corporate, institutional, and municipal clients. It… more
- Charles Schwab (Westlake, TX)
- …operates through multiple regulated entities, and requires facility with multiple compliance subject matter disciplines, including broker / dealer , investment ... clients and one another succeed. The Managing Director, Schwab Compliance , is one of several key leadership roles within...business drivers and perspectives combined with broad management and commercial skills, and an ability to bring a strategic… more
- Capital One (New York, NY)
- … Dealers + Manage manual screening processes (Bridger Web) + Escalation point for Broker Dealer , Investment Bank, Sales, Research and Trading and Mergers & ... York, New York Senior Manager, Capital Markets Regulatory Onboarding Capital One's Commercial Operations provides support for all Commercial Banking businesses,… more
- SMBC (New York, NY)
- …in-depth understanding of business processes in at least three of the following: commercial banking; broker - dealer sales and trading; financial and ... internal controls in key technology risk areas to ensure compliance with internal policies, laws and regulations, and regulatory...business processes in at least three of the following: commercial banking; broker - dealer sales and… more
- AutoNation, Inc. (Albuquerque, NM)
- …fleet, manager, at&t, telemarketer, telemarketing, t mobile, kuni, public relations, broker , finance, financial advisor, retail, truck, trucks, commercial , job ... options and products Process finance transactions and ensure 100% compliance with all state and federal laws and regulations...for AutoNation? You want to work for a car dealer that has a strong moral compass and treats… more
- AutoNation, Inc. (Golden, CO)
- …fleet, manager, at&t, telemarketer, telemarketing, t mobile, kuni, public relations, broker , finance, financial advisor, retail, truck, trucks, commercial , job ... options and products Process finance transactions and ensure 100% compliance with all state and federal laws and regulations...for AutoNation? You want to work for a car dealer that has a strong moral compass and treats… more
- SMBC (Charlotte, NC)
- …financial institutions. Based in New York City, we are an SEC registered Broker dealer that provides financial products and services to global institutional ... value of its relationships in Asia, the Group offers a range of commercial and investment banking services to its corporate, institutional, and municipal clients. It… more
- JPMorgan Chase (New York, NY)
- …and services in the United States would be a strong advantage, eg, broker - dealer regulations and privacy regulations. + Creative problem-solving skills; an ... regulators, working with Global Share management and other functions such as Compliance as required; + Help to monitor relevant legislation and regulations affecting… more
- CIBC (New York, NY)
- …the Securities Act, the Exchange Act, FINRA and CFTC rules and regulations, broker - dealer regulations, and Dodd-Frank Title VII provisions as applied to swaps ... with multiple stakeholders within the firm (risk, tax, accounting, compliance , etc.) as well as with the primary business...Legal risk management are being conducted in accordance with commercial objectives of the business and CIBC risk tolerance.… more
- Deloitte (Jersey City, NJ)
- …within the risk function at a bank, capital markets organization or broker - dealer , including execution and oversight processes, risk assessment, reporting, ... and recommendations and manage day-to-day stakeholder relationships + Demonstrate appropriate compliance and control of interest rate and liquidity risk + Implement… more
- Morgan Stanley (Alpharetta, GA)
- …and Compliance Division and Risk Department responsible for Morgan Stanley's broker - dealer and bank entities to ensure that all necessary support, issue ... to provide advice and counsel on a wide range of business-to-business commercial matters for its industry-leading share plan administration business. This position… more
- JPMorgan Chase (New York, NY)
- …self-regulatory organization with demonstrated financial services experience. + Experience in broker - dealer matters, including knowledge of federal and state ... on the US Wealth Management and Product Legal teams and collaborate with Compliance , Risk and Controls functions to ensure comprehensive and effective support. The… more