- Wintrust (Chicago, IL)
- …plus years' experience ideally with a bank trust department, registered broker - dealer , registered investment adviser. Professional certification is highly ... areas. Additionally, Wintrust operates various non-bank business units including commercial and life insurance premium financing, short-term accounts receivable… more
- Digital Realty (Dallas, TX)
- …Company Act, Investment Advisers Act, Securities Act, SEC rules). Understanding of the broker - dealer industry and related FINRA rules is a plus. Excellent ... will be a part of Digital Realty's broader global Legal Risk Sustainability Compliance (LRSC) Team, serving as the in-house counsel dedicated to supporting Digital… more
- SimpleCiti Companies (Garden City, NY)
- …filings for Delaware entities, Series LLCs, and co-investment vehicles *Support future broker - dealer and fund expansion efforts Real Estate & Lending ... property management, development, and specialty lending. With expertise in industrial, commercial , mixed-use, and residential real estate, SimpleCITI operates at the… more
- JPMorgan Chase (New York, NY)
- …capabilities and skills: + Strong experience and familiarity with broker - dealer cash equities legal, regulatory and compliance issues, broker ... Group within the Corporate & Investment Bank as a Broker - Dealer & Cash Equities Attorney. As a...trading businesses. You will work closely with the business, compliance , other internal control functions, internal and external legal… 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
- JPMorgan Chase (Columbus, OH)
- …organization with demonstrated financial services experience. + Experience in broker - dealer and investment advisory matters, including knowledge of ... 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
- Scotiabank (New York, NY)
- …should involve compliance testing or audit. + Experience/background in compliance applicable to broker - dealer internal inspections, institutional trading ... Manager, Compliance Testing **Requisition ID:** 223397 **Salary Range:** 90,000.00...banking, investment management, and corporate functions within investment or commercial bank or institutional broker - dealer … more
- Capital One (Mclean, VA)
- …3 years of experience testing or monitoring in a compliance department for an institutional broker dealer or a swap dealer , or at least 3 years of ... applicable lines of business, specifically within the Capital One Commercial Compliance Testing team are met. The...in a compliance department for an institutional broker dealer or swap dealer … more
- SMBC (Jersey City, NJ)
- …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,...various US entities according to candidate's skills set (eg, broker dealer or lending). + Learn how… 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 ... Audit and across the firm! As a Senior Internal Auditor, Associate on the Commercial and Investment Banking Finance Audit team, you will be involved in all stages… more
- Charles Schwab (Westlake, TX)
- …and cash requirement methodologies, research, forecasting and modeling + Understanding of broker dealer segregation routines + Optimize collateral selections for ... for the design of company liquidity management policies, ensuring compliance at all times, and escalating issues to senior...build robust analytics to support collateral pledging activities + Broker dealer subject matter expert for items… more
- Scotiabank (New York, NY)
- …and broker -dealers, and assist in successfully executing banking and broker - dealer -related audits, regulatory matters, and strategic initiatives. + Lead and ... both regionally and globally to develop a stronger strategy for banking/ broker - dealer audit coverage. + Maintain effective relationships with stakeholders,… more
- Scotiabank (New York, NY)
- …of compliance experience, including experience providing advisory support to a broker - dealer equities sales and trading business. + Knowledge of relevant SEC ... Director, Markets Compliance Officer **Requisition ID:** 225527 **Salary Range:** 180,000.00...range of advice, products and services, including personal and commercial banking, wealth management and private banking, corporate and… more
- SMBC (Jersey City, NJ)
- …Group's wholesale and retail banking operations; US and LATAM representative offices; US broker dealer and registered swap deal; Cayman Branch; Canada Branch; ... relationships in Asia, the Group offers a range of commercial and investment banking services to its corporate, institutional,...SMBC Group is seeking an Associate to join the Compliance Controls Inventory team, which is a part of… more
- JPMorgan Chase (Plano, TX)
- JPMorgan Securities LLC (JPMS LLC) is a licensed broker - dealer and investment adviser registered with the SEC and FINRA. It is also a Municipal Securities ... Dealer , Futures Commission Merchant, Commodity Pool Operator, and registered...the opportunity to collaborate with senior stakeholders and drive compliance initiatives that impact our business worldwide. As a… more
- Bank of America (Charlotte, NC)
- …Qualifications** + Recent experience in a similar role in a top tier bank / broker - dealer or product development role in a large broker / dealer ... on behalf of Global Markets Operations - lead engagement with Technology, Compliance and Front Office where necessary. + Partner with Global Markets Operations,… more
- JPMorgan Chase (Columbus, OH)
- …from further analysis, and develop actionable recommendations. + Specific knowledge of core broker - dealer systems, operation of common broker - dealer ... leadership. + Collaborate with internal technology, operations, legal, risk, and compliance partners to develop requirements for the target operating model and… more
- JPMorgan Chase (New York, NY)
- …FINRA rules, related to the supervision and risk management of credit exposures in broker - dealer operations; ensuring compliance with Title VII of the ... Risk SMEs and partners and ensure thorough assessments and compliance by adhering to policies and procedures including Credit...especially those acting as Future Commission Merchant and Swap Dealer in order to assess impact to Credit Risk;… 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
- Siebert Williams Shank (Chicago, IL)
- …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
