- 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
- 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
- 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
- Citizens (Iselin, NJ)
- …owned subsidiary of Citizens Financial Group, is a FINRA-registered institutional broker - dealer with approximately 650 associated professionals. We deliver ... Excel and SharePoint Qualifications + Minimum 7 years of institutional broker - dealer compliance experience, with significant licensing and registration… more
- Motion Recruitment Partners (New York, NY)
- …will have experience working in a collaborative work environment for a financial services/RIA/ Broker Dealer firm and have a passion for delivering outstanding ... process ongoing activity + Work with client types including direct/retail investors, broker dealer platforms, institutions and advisors + Support client… 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
- Broadridge Financial Solutions (Newark, NJ)
- …field, or equivalent practical experience. + Demonstrated experience in back-office operations; Broker - Dealer exposure (BBD) highly preferred. + Proven skill in ... Committees, contractual obligations and client issue resolution + Liaising Finance, Billing, Legal and other service teams to ensure client obligations are met +… 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
- TD Bank (New York, NY)
- …in risk, compliance or financial crimes risk management, preferably within the broker - dealer industry at a large financial institution. + Strong verbal ... providing guidance on regulatory compliance, close partnership with business and legal , and operationalizing requirements and regulations for the Wholesale business.… 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
- Motion Recruitment Partners (New York, NY)
- …Stress Testing/ CCAR. + Risk & Controls experience. + Strong Understanding of Broker dealer Front office operations and Products. + Proficiency using MS ... $91/hr - $98/hr Grow your career with an innovative global bank in New York, NY as a Model...and post-tax options + Paid Sick Time Leave + Legal and Identity Protection Plans + Pre-tax Commuter Benefit… 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