- Capital One (New York, NY)
- …Advisor Senior Manager The Compliance Advisor Senior Manager will report directly to the Commercial Broker Dealer Chief Compliance Officer. This role ... One Securities, Inc., KippsDeSanto & Co., TripleTree, LLC. (collectively " Commercial Broker Dealers" or "CBDs"). The Compliance...framework. The Compliance Advisor Senior Manager also assists the Broker Dealer CCO in keeping abreast of… 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,...years of regulatory and/or advisory compliance experience at a broker dealer . + A solid foundation in… more
- SMBC (New York, NY)
- …as a regulatory advisory function 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: + Extensive Compliance Advisory experience at a broker dealer . + Strong knowledge in US… more
- SMBC (New York, NY)
- …as a regulatory advisory function 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,...and Skills** + Extensive Compliance Advisory experience at a broker dealer covering fixed income and/or fixed… more
- JPMorgan Chase (New York, NY)
- …welcome. + Prior experience in private markets preferred. + Experience in retail, broker / dealer , mutual fund industry preferable. JPMorgan Chase & Co., one of ... of private markets, macroeconomics, and public markets. You'll report to the Chief Market Strategist for the Americas. **Job Summary** As a Global Market… more
- JPMorgan Chase (New York, NY)
- …products and services marketed through a bank, registered investment adviser (RIA), or broker - dealer , and related SEC, OCC and FINRA rules and regulations + ... partners. **Job Responsibilities** + Lead compliance contact to the Outsourced Chief Investment Office (OCIO) team providing advice, guidance and oversight on… more
Locations:
New York