- Oppenheimer & Co. Inc. (New York, NY)
- …& Co. Inc. ("Oppenheimer") is a leading middle-market investment bank and full service broker - dealer . With roots tracing back to 1881, the Company is engaged in ... brokerage, institutional sales and trading, investment banking (both corporate and public finance ), equity & fixed income research, market making, trust services and… more
- SMBC (New York, NY)
- …function to the President and is responsible for overseeing the management of the broker dealer 's compliance risk and is represented by the Chief Compliance ... services, including banking, leasing, securities, credit cards, and consumer finance . The Group has more than 130 offices and...years of regulatory and/or advisory compliance experience at a broker dealer . + A solid foundation in… more
- Broadridge Financial Solutions (New York, NY)
- …career, while helping others along the way, come join the Broadridge team. The Bank Broker Dealer Head of Strategy and Business Development is a key member of ... + Bachelor's degree (Advanced Degree Preferred) in a relevant discipline such as Finance or Business Administration + 4+ years experience in big 3 consulting… more
- MUFG (New York, NY)
- …our recruitment team will provide more details. **Main Responsibilities:** The US and Canada Broker Dealer Treasury team is part of the HoldCo Treasury, Capital ... Reporting directly to the Treasurer, the AVP will have involvement in all broker dealer treasury functions including funding and liquidity risk management, asset… more
- JPMorgan Chase (Jersey City, NJ)
- …outside of Internal Audit and across the firm! As a Senior Internal Auditor, Associate on the Commercial and Investment Banking Finance Audit team, you will ... in financial services industry + Exposure to capital planning (CCAR), broker - dealer and bank regulatory reporting, and Treasury/liquidity reporting processes… more
- Robert Half Finance & Accounting (New York, NY)
- …in midtown Manhattan New York. Our client requires 8+ years Investment and Broker Dealer Compliance experience within a Registered Investment Advisor (RIA), with ... Robert Half Financial Services are currently recruiting for an Associate Director of Compliance role for a $100+bn AUM...Form ADV, Form PF, Form Ds, OSC filings, routine broker dealer related filings such as U4s,… more
- SMBC (Jersey City, NJ)
- …will be responsible for SMBC Nikko Securities America, Inc, a registered broker dealer , which provides intvestment securities and other financial services ... services, including banking, leasing, securities, credit cards, and consumer finance . The Group has more than 130 offices and...experience in Financial Services, 2 + years Financial Reporting ( broker dealer experience is a strong plus)… 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 ... services, including banking, leasing, securities, credit cards, and consumer finance . The Group has more than 130 offices and...to hire a Financial Crime Compliance ("FCC") Program Governance Associate reporting to a VP of FCC Program Governance.… 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; ... of financial services, including banking, leasing, securities, credit cards, and consumer finance . The Group has more than 130 offices and 80,000 employees worldwide… more
