- SMBC (New York, NY)
- …time as business is conducted and transactions are executed. **Role Objectives** The Broker Dealer Regulatory Governance Advisory Team within the CPAD Advisory ... organized with project management skills. + Regulatory compliance experience at a broker dealer and or swap dealer preferred. BA/BS required. JD Preferred.… 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 ... + Support the origination and execution of transactions with Banks and Broker Dealer clients + Work closely across the Private Debt Complex to assist… more
- Principal Financial Group (Lake Oswego, OR)
- …investment account applications. Manage account openings and asset movement requests with broker dealer . + Utilize industry technology, such as Salesforce CRM ... new client accounts, managing account openings and asset movement requests with broker - dealer , and serving as a point of contact between financial professionals,… more
- HSBC (New York, NY)
- …Direct and navigate the liquidity teams covering entities in the US (Bank and Broker Dealer ), Mexico, Chile and Brazil. You will have responsibility for setting ... topics, including specific liquidity experience and a solid understanding of Broker Dealer activity + Experience of directing, engaging, motivating and leading a… more
- HSBC (New York, NY)
- …Ideal candidates should have a strong knowledge of US securities laws, FINRA broker - dealer rules, and CFTC rules and regulations. A knowledge of regulations ... risk + Leverage your experience by working at a US regulated broker - dealer , futures commission merchant, bank, and bank holding company, which are critical… more
- SMBC (Jersey City, NJ)
- …matter expert in the Regulatory Reporting Automation for BHC, Branch, Liquidity or Broker Dealer regulatory reports. This position will provide leadership to the ... not limited to reports such as the FRB reports, knowledge of broker - dealer reporting, liquidity reporting, etc.) + Experience in capital markets asset classes… more
- Neuberger Berman (New York, NY)
- …to ensure the highest standards of supervision and governance for RIA and Broker Dealer platforms and advisory/sales activities + Oversee the implementation of ... and leading high-performing teams + Deep understanding of RIA and Broker Dealer supervisory frameworks, advisory/sales practices, and relevant regulatory… more
- Principal Financial Group (Kansas City, MO)
- …in growing advisor relationships. Accountable for achieving sales targets and managing broker dealer relationships within all channels covering our ETF's, ... growing market share + May provide input on marketing, product development, shareholder/ broker communications and integration of campaigns with broker dealers… more
- Principal Financial Group (Minneapolis, MN)
- …in growing advisor relationships. Accountable for achieving sales targets and managing broker dealer relationships within all channels covering our ETF's, ... growing market share. + May provide input on marketing, product development, shareholder/ broker communications and integration of campaigns with broker dealers… more
- DWS Group (New York, NY)
- …requirements and internal controls. Collaborate and build relationships with broker - dealer counterparties, issuers and other key industry stakeholders. ... Negotiate and execute trades with broker -dealers through low-touch and high-touch channels. Contribute to the enhancement of existing trading processes and utilize… more
- SMBC (Jersey City, NJ)
- …+ Undergraduate degree required. + Approximately 1-3 years of relevant broker - dealer compliance and/or registrations experience, preferably within a financial ... services firm. + Understanding of vendor systems, knowledge of Web CRD, Gateway, Form U4, U5, BD, BR and reporting. + Proactive, self-starter that is comfortable in being part of developing new programs and enhancing existing programs. + Excellent written and… more
- SMBC (Jersey City, NJ)
- …as needed **Qualifications and Skills** + At least 15 years of institutional broker - dealer compliance experience, with a minimum of 10 years of managing ... a Registrations team. + Understanding of industry best practices to allow for benchmarking. + Deep knowledge of relevant FINRA, SEC, CFTC, NFA Rules and Regulations. + Active FINRA licenses is a plus. + Knowledge of Web CRD, Gateway, Form U4, U5, BD, BR and… more
- SMBC (Jersey City, NJ)
- …as required. **Qualifications and Skills** + At least 15 years of institutional broker - dealer compliance experience, with a minimum of 10 years of managing ... an outside business activities, private investments and political contributions program. + Strong knowledge of concepts and procedures for managing employee related conflicts of interest in the financial services industry. + Strong analytical skills, including… 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 ... subsidiaries and affiliates. **Role Objectives** + Provide administrative project support to the Development team, which may involve drafting or combining initial storyboards, collecting and compiling course feedback, and testing course functionality, along… more
- Bank OZK (Atlanta, GA)
- …of work experience in self-sourcing investment management assets in a banking, broker - dealer or registered investment advisor related role, preferred. + ... Experience with Money Guide or other Financial Planning tools, preferred. + Professional designation (ie, CTFA, CFP (R) ), preferred. Job Expectations Job Expectations: O perate customary equipment and technology used in a business environment, with or without… 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 ... clients, focusing on North America and Latin America. The Securities Operations Group within SMBC Nikko Securities America, Inc. is seeking an Associate level candidate to provide operational support to the Fixed Income Securities business. This role is an… more
- SMBC (Jersey City, NJ)
- …financial institutions. Based in New York City, we are an SEC registered Broker dealer that provides financial products and services to global institutional ... clients, focusing on North America and Latin America. The Securities Operations Group within SMBC Nikko Securities America, Inc. is seeking an Associate level candidate to join the Supervision and Controls Team. The role reports to the Head of Supervision and… more
- Neuberger Berman (New York, NY)
- …+ 3-5 years' experience in registration, licensing, or compliance within a broker - dealer or investment adviser + Proactive, self-motivated, and highly organized ... + Strong interpersonal, oral, and written communication skills + Understanding of FINRA, SEC, and state registration/licensing requirements + Excellent computer skills (Excel, Microsoft Office Suite, Workday) + Skilled at managing multiple deadlines and… more
- NatWest Markets (Stamford, CT)
- …and reconciliation processing. + Familiarity with US regulatory requirements specific to Broker Dealer Operations. + Solid understanding of general accounting ... principles. + Strong communication skills with senior stakeholders internally and externally. + Proven ability to manage multiple tasks, meet deadlines, and communicate effectively across all levels. + Proficiency in Microsoft Office, especially PowerPoint and… more
- NatWest Markets (Stamford, CT)
- …Manager role + Experience in financial markets or investment banking is required; Broker - Dealer experience is a strong plus + Demonstrated experience in ... regulatory and functional audits + Proven ability to lead teams and deliver projects on time, within budget, and to a high standard of quality + Strong coaching and talent development skills, with a proactive approach to identifying and nurturing potential +… more
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