- 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
- SMBC (Jersey City, NJ)
- …assists the Director with day-to-day workflow management, maintains and enhances Advisory department processes and tasks. + Ensures compliance with all ... the SMBC in the New York branch. The Sanctions Advisory Vice President ("V.P.") supports the Director ...involved in performing assignments in the absence of the Director and ensures compliance in accordance with… more
- SMBC (New York, NY)
- …or as a member of a CRA team. + Experience working in a Compliance Advisory role covering either banking products/services or trading/capital markets businesses ... the Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets, Inc., SMBC...Americas Division ("CPAD"). This role will report to the Director who serves as Compliance Risk Assessment… more