- SMBC (New York, NY)
- …issues until resolved. + Must be well organized with project management skills. + Regulatory compliance experience at a broker dealer and or swap dealer ... time as business is conducted and transactions are executed. **Role Objectives** The Broker Dealer Regulatory Governance Advisory Team within the CPAD Advisory… 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,...Core Competencies/Skills: + 4-7 years of regulatory and/or advisory compliance experience at a broker dealer… more
- Capital One (New York, NY)
- …**Preferred Qualifications:** + **4+ years of experience within a broker dealer registration and licensing function or similar compliance experience** + **3+ ... Associate Broker Dealer Risk Specialist **The Associate...Risk Specialist **The Associate Risk Specialists supporting Capital One's Commercial Broker Dealers are highly motivated Risk… more
- JPMorgan Chase (Jersey City, NJ)
- …learning as this role will have a primary focus covering the US Broker - Dealer (s) Compliance program. **Job Responsibilities** + Coordinate periodic reporting ... and prepare the annual FINRA Compliance and Process Reports for the broker - dealer entities. + Provide guidance and technical expertise that supports the… more
- Scotiabank (Dallas, TX)
- …should involve compliance testing or audit. * Experience/background in compliance applicable to broker - dealer internal inspections, institutional trading ... Manager, Compliance Testing **Requisition ID:** 245239 **Salary Range:** 76,600.00...banking, investment management, and corporate functions within investment or commercial bank or institutional broker - dealer … more
- GE Vernova (New York, NY)
- …capital markets products and services, including third-party fundraising and management. + Broker - Dealer Compliance : Coordinate and execute compliance ... Officer in New York, NY. **Job Description** **Essential Responsibilities** _Development Compliance Risk Management_ : Partner with FS' commercial resources and… more
- Wells Fargo (Charlotte, NC)
- …statutory disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing ... with consideration and respect for their total relationship with Wells Fargo. ** Commercial Real Estate (CRE)** provides a fully integrated platform of banking,… more
- SMBC (New York, NY)
- …issue management across Combined US Operations (CUSO), the SMBC Capital Markets Swap Dealer , and Nikko Securities America's Broker - Dealer entity. This role ... and internal controls). - Strong understanding of regulatory requirements applicable to Swap- Dealer , Broker - Dealer , and Bank entities. Communication and… more
- SMBC (New York, NY)
- …Assist in preparing high quality materials for Risk Committees (Tier 1 and 2), Swap Dealer and Broker Dealer oversight forums - Help review policies, ... Coordination Team across Combined US Operations (CUSO), the SMBC Capital Markets Swap Dealer , and Nikko Securities America's Broker - Dealer entity. This role… more
- PNC (Pittsburgh, PA)
- …will be based in Pittsburgh, PA. Position Overview: The Capital Markets Finance - Broker Dealer Accounting group supports a high growth and strategic business ... joining a team of finance professionals which includes individuals with CPAs and broker dealer licenses. PNCCM underwrites, deals, and trades in corporate… more
- JPMorgan Chase (Jersey City, NJ)
- …in financial services industry + Exposure to capital planning (CCAR), broker - dealer and bank regulatory reporting, and Treasury/liquidity reporting processes ... governance and operational excellence! As a Senior Internal Audit Associate on the Commercial and Investment Banking Finance Audit team, you will be involved in all… more
- SMBC (New York, NY)
- …role within the Financial Institutions Group will be responsible for Banks and Broker Dealer client coverage, including all aspects of client development, new ... the origination and execution of transactions with Banks and Broker Dealer clients + Work closely across...of general elements of credit risk as well as legal/ compliance related to Bank and Broker Dealers… more
- HSBC (New York, NY)
- …policies and procedures, training, conflicts, and supervision. + The EQD Compliance Officer is responsible for making commercial decisions while ... US Equities Compliance , SVP Brand: HSBC Area of Interest: Risk...related field + Extensive experience in a bank or broker - dealer , with a focus on equities markets,… more
- JPMorgan Chase (New York, NY)
- …you will provide critical guidance and support to several of the Firm's broker - dealer and investment advisory business groups for JP Morgan Wealth Management. ... + Serve as a primary legal contact supporting JP Morgan Wealth Management's broker - dealer and investment advisory products, services, and sales channels for… more
- SMBC (Jersey City, NJ)
- …on technical regulatory issues involving our New York Branch, Bank Holding Company, broker / dealer , swap dealer and other affiliates. This role will ... deep technical knowledge of US regulatory rules, including capital requirements across banking, broker / dealer , and swap dealer entities. + Review and… more
- SMBC (Jersey City, NJ)
- …LATAM representative offices, Grand Cayman branch, Brazilian banking subsidiary, US broker - dealer and registered swaps dealers, and certain non-banking leasing ... 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
- Wellington (Boston, MA)
- …including SEC, CFTC, FINRA, NFA requirements + Advising on activities of limited-scope broker / dealer and retail-adjacent activities of our investment adviser, ... with legal support of Wealth initiatives preferred (eg, marketing, limited-scope broker / dealer support, US retail fund distribution, interval funds, tender… more
- Wells Fargo (Chicago, IL)
- …statutory disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing ... with consideration and respect for their total relationship with Wells Fargo. ** Commercial Real Estate (CRE)** provides a fully integrated platform of banking,… more
- T. Rowe Price (Owings Mills, MD)
- …+ Direct experience building digital investing or trading experiences at a broker / dealer or online brokerage + Strong understanding of self-directed investor ... integration + Partner closely with Technology, Digital Design, Data, Legal/ Compliance , and Investment teams to deliver seamless, compliant, high-performing… more
- Siebert Williams Shank (New York, NY)
- …investment-grade corporate debt, a national leader in public finance investment banking, a named dealer on more than 50 commercial paper programs, and a seasoned ... platform, and a sound regulatory capital base. We are a SEC-registered securities broker - dealer and member of the Financial Industry Regulatory Authority (FINRA)… more