- Scotiabank (New York, NY)
- Director, SCUSA CCO, Head of Broker Dealer & Corporate Functions Compliance **Requisition ID:** 199204 **Salary Range:** 174,700.00 - 286,000.00 _Please note ... energy, foreign exchange and precious & metals. We also cross -sell the full range of wholesale products and services...Acts as the Chief Compliance Officer for the US broker dealer and Head of Corporate Functions… more
- SMBC (New York, NY)
- …regulatory advisory function and is responsible for overseeing the management of the broker dealer 's compliance risk, and is represented by the Chief Compliance ... Job Knowledge and Core Competencies/Skills: + Extensive Compliance Advisory experience at a broker dealer . + Strong knowledge in US securities laws, rules and… more
- Citigroup (New York, NY)
- …risk and governance programs that meet regulatory expectations, for example US Broker - Dealer Supervision Rules (FINRA 3110, 3120, etc,) and, or Prudential ... with Prudential Bank Regulations. The role will interact extensively with senior management across the Global Equities business, central Markets teams, Independent… more
- CIBC (New York, NY)
- …CIBC.com (https://www.cibc.com/en/about-cibc.html) JOB PURPOSE Compliance Examination Manager for Capital Markets/ Broker - Dealer /Swap Dealer Reporting to the ... of business controls established to ensure adherence with US broker - dealer and US swap dealer ...completion and escalate past-due item + Develop relationships with senior management and other key internal contacts, including Management… more
- Broadridge Financial Solutions (New York, NY)
- …ways to improve their consultative sales skills within the operations groups of broker / dealer clients. + Collaborate with and advise Global Account and Strategic ... 100% of the client base and develop account plans based on a cross -Broadridge understanding of the client. The Account Manager employs strong negotiation and… more
- US Tech Solutions (New York, NY)
- …but not required - product inductions and training will be provided. + Dealer -board / Turret technologies (IPC Unigy, Broker lines, hoot bridges). Desirable ... Line escalation. + Create reports for Trading Voice Recording Operations and Senior Management teams. + Compliance and Litigation Team support with data search,… more
- Citigroup (New York, NY)
- …corporate & investment banking. + In-depth understanding of US bank and broker - dealer regulatory requirements. Experience in prudential regulation screening (eg, ... our workforce reflect this same diversity at all levels. **Role Description** The Senior Vice President - Business Controls Lead will be responsible for in-business… more
- Morgan Stanley (New York, NY)
- …markets/risk management or working in risk management in a bank or broker / dealer -regulated environment. . Understanding of business line, financial products, ... Losses, and Independent Process Validation. In the Audit division, we provide senior management an objective and independent assessment of the Firm's internal… more