- CNA (Chicago, IL)
- …our Financial Lines group arising under policies issued to our life agent, broker - dealer , and investment advisor, banking and insurance customers. These claims ... to senior management. Maintains subject matter expertise and ensures compliance with state/local regulatory requirements by following company guidelines, and… more
- Equitable (Charlotte, NC)
- …sales manager required. Thorough knowledge and existing relationships within intermediary broker dealer firms, fund clearing platforms, and model platforms. ... thoroughly understands the sales process, product offerings, technology capabilities and compliance procedures of the distributor and asset manager. Spearhead sales… more
- EquityZen (New York, NY)
- …developments and compliance Negotiate and draft strategic and high value commercial contracts Prepare and submit regulatory filings THE RIGHT STUFF: JD from an ... markets role at a venture funded fintech startup, investment bank, investment adviser, broker - dealer , hedge fund or other private fund COMPENSATION $110,000 -… 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
- TD Bank (New York, NY)
- …requirements across multiple jurisdictions and business lines, including consumer and commercial banking, broker - dealer operations, and wealth management. ... Compliance laws, rules, regulations, risks and taxonomies related to consumer and commercial banking, securities ( broker - dealer ), and wealth management +… 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
- 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
- TD Bank (Fort Lauderdale, FL)
- …of laws, rules, regulations, risks and taxonomies related to consumer and commercial banking, securities ( broker - dealer ), and wealth management businesses ... more specific details for this role. **Line of Business:** Compliance **Job Description:** **Department Overview:** **Why Work with Us?**...Overview:** **Why Work with Us?** At TD Bank US Compliance , we're on a mission to build a more… more
- TD Bank (Portland, ME)
- …of laws, rules, regulations, risks and taxonomies related to consumer and commercial banking, securities ( broker - dealer ), and wealth management businesses ... more specific details for this role. **Line of Business:** Compliance **Job Description:** **Department Overview:** **Why Work with Us?**...Overview:** **Why Work with Us?** At TD Bank US Compliance , we're on a mission to build a more… 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
- 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 (Jersey City, NJ)
- …laws and regulatory requirements related to private banking, investment advisor, broker - dealer and fiduciary activities. + Experience with internal audit ... manner + Knowledge of applicable laws and regulatory requirements related to broker / dealer and fiduciary activities + Strong interpersonal and influencing… 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
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