- SMBC (New York, NY)
- …Job Knowledge and Core Competencies/Skills: + Extensive Compliance Advisory experience at a broker dealer and or swap dealer . + Strong knowledge in US ... relationships in Asia, the Group offers a range of commercial and investment banking services to its corporate, institutional,...be well organized with project management skills. + Regulatory compliance experience at a broker dealer… 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,...+ Extensive Compliance Advisory experience at a broker dealer covering fixed income and/or fixed… 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
- First Horizon Bank (Memphis, TN)
- …+ Bachelors Degree in Accounting, Finance or Business + Minimum 5 yrs. experience in broker - dealer Compliance or equivalent in legal, compliance or audit ... a broker - dealer and a bank dealer and offer general support to the compliance...the southern US The Company and its subsidiaries offer commercial , private banking, consumer, small business, wealth and trust… 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)
- …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
- 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
- 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
- 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
- Bank of America (New York, NY)
- …including but not limited to alternative or traditional asset management, broker - dealer , insurance, mortgage, title, payment processor or banking industries ... business. We provide treasury services for Asset Managers, Private Capital firms, Broker Dealers, and Exchanges. We need self-starters who can advocate for our… more
- Lincoln Financial (Charlotte, NC)
- …to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln ... Glance** We are looking to add a Closing and Servicing Specialist to the Commercial Mortgage and Real Estate Investments team to work in the Charlotte or Greensboro… more
- JPMorgan Chase (Chicago, IL)
- …organization with demonstrated insurance experience. + Experience in insurance and broker - dealer matters, including knowledge of state insurance laws and ... 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
- SMBC (Jersey City, NJ)
- …representative offices; Grand Cayman Branch; Canada Branch; Brazilian banking subsidiary; US broker dealer and registered swap deal; and certain non-bank 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
- Umpqua Bank (Denver, CO)
- …and loyalty through excellent service. + Other responsibilities as assigned. + Demonstrates compliance with all bank and broker / dealer regulations for ... A Senior Wealth Advisor may manage clients linked to a group of branches, business/ commercial clients, or function as a "hub" or "second floor" advisor for an… more
- JPMorgan Chase (Jersey City, NJ)
- …requirements (eg, 12 CFR 9) related to asset management, investment advisor, broker - dealer and fiduciary activities. + Knowledge of various financial ... stakeholders, including other control groups (such as risk management, compliance ), external auditors, and regulators. Establish strong working relationships while… more
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