- Citigroup (New York, NY)
- **Position Overview:** Citi's Global Broker - Dealer Legal Entity Treasury team is seeking a highly qualified AVP candidate to support Broker - Dealer ... and oversight requirements within the Treasury organization. **Team Description:** The Global Broker - Dealer Legal Entity Treasury team within the… more
- SMBC (New York, NY)
- …Critical Job Knowledge and Core Competencies/Skills: + Extensive Compliance Advisory experience at a broker dealer and or swap dealer . + Strong knowledge in ... SMBC Group is a top-tier global financial group. Headquartered in Tokyo and with...project management skills. + Regulatory compliance experience at a broker dealer and or swap dealer… more
- Marex (New York, NY)
- …(ten) years of relevant financial industry experience; working for a FINRA registered Broker Dealer and NFA registered FCM (Future's Commission Merchant). + ... Diversified. Resilient. Dynamic. Marex is a global financial services platform, providing essential liquidity, market...+ Experience with onboarding documentation outside of KYC (eg Legal agreements). + Ability to accurately identify a customer's… more
- SMBC (New York, NY)
- …regulatory advisory function and is responsible for overseeing the management of the broker dealer 's compliance risk, and is represented by the Chief Compliance ... requirements and other ad hoc investigations. + Work with Global Advisory team and other legal entities...and Skills** + Extensive Compliance Advisory experience at a broker dealer covering fixed income and/or fixed… more
- Bank of America (New York, NY)
- …and ensure Risks identified are reflected across all scenarios + Lead EFR coverage of SEC broker dealer net capital rules and CFTC swap dealer capital rules, ... and developing talent, advancing careers, and creating leaders within Global Risk Management and across the company. Our goal...capital management activities, including capital planning and forecasting for broker dealer and swap dealer … more
- Broadridge Financial Solutions (New York, NY)
- …ability to establish, develop and maintain senior-level relationships across bank and broker - dealer accounts. Candidate must have excellent oral and written ... services market, specifically the general workings of wealth management and capital markets broker / dealer operations, as well as exposure to, or experience in,… more
- SMBC (New York, NY)
- …credit officers and our clients. The individual will support activities within our swap dealer and broker dealer businesses including derivatives, FX, repo ... SMBC Group is a top-tier global financial group. Headquartered in Tokyo and with...SMBC Nikko Securities America, Inc. is a SEC-registered securities broker - dealer and member of the Financial Industry… more
- NatWest Markets (Stamford, CT)
- …+ Experience working within a legal or compliance function of a Swap Dealer or a broker dealer . + Understanding of US regulatory requirements ... dealer rules and regulations) and SEC/FINRA rules governing broker -dealers. + Experience monitoring and reviewing regulatory changes, writing and implementing… more
- TD Bank (New York, NY)
- …training.** + **Experience responding to client complaints within a bank or broker - dealer .** + **Experience reviewing and providing guidance on advertising and ... asset management, securities, investment advisory and insurance) through multiple legal entities (TD Bank NA, TD Private Client Wealth...marketing materials for a broker - dealer /bank.** **Customer Accountabilities:** + Proactively advises the… more
- JPMorgan Chase (New York, NY)
- …+ ETF experience and in-house legal experience. + Experience advising on broker - dealer issues. + Expertise in complex transactions and index management. + ... industry. As an Attorney in the JPMorgan Asset Management legal team, you will provide comprehensive legal ...firm, and advises the firm on other matters. Our global team is made up of 2,000 lawyers and… more
- Scotiabank (New York, NY)
- …years of compliance experience, including experience providing advisory support to a broker - dealer equities sales and trading business. + Knowledge of relevant ... driven winning team, committed to results, in an inclusive and high-performing culture. ** Global Banking and Markets** Global Banking and Markets (GBM) is a… more
- Santander US (New York, NY)
- …knowledge of the US Fixed Income trading/regulatory framework, including FINRA, SEC broker dealer regulations and other relevant bank regulations; knowledge of ... Country: United States of America **Your Journey Starts Here:** Santander is a global leader and innovator in the financial services industry. We believe that our… more
- Mizuho Corporate Bank (New York, NY)
- …regulatory rules and will contribute analysis and translation of various Broker - Dealer regulatory requirements in collaborations with other stakeholders (eg, ... the local expertise of our employees that makes our global network so powerful. By collaborating with colleagues and...the team plays a key role (in collaboration with legal , compliance, IT, etc) in the analysis, requirements specifications,… more
- BMO Financial Group (New York, NY)
- …& sales activities and applicable regulations surrounding them. + Knowledge of the Broker Dealer and Banking Regulations, which include but not limited to ... tests that the First Line of Defense responsibilities outlined in the Legal Regulatory Compliance Risk Management (LRCRM) Policy, the Enterprise Compliance Program,… more