- SMBC (New York, NY)
- …well organized with project management skills. + Regulatory compliance experience at a broker dealer and or swap dealer preferred. BA/BS required. Series ... Critical Job Knowledge and Core Competencies/Skills: + Extensive Compliance Advisory experience at a broker dealer and or swap dealer . + Strong knowledge in… more
- SMBC (New York, NY)
- …the Data Governance field for a Financial Institution (eg Bank Holding Company, broker dealer , swap dealer ) with focus on: documenting data requirements ... Nikko America's Data Management and Analytics Group, the Data Governance Analyst will be primarily responsible for supporting the...role will support both SMBC Nikko Securities America, Inc. ( Broker - Dealer ) and SMBC Capital Markets, Inc. (Swap… more
- TD Bank (New York, NY)
- …+ **Knowledge and experience within compliance or audit, legal and regulatory environment, enterprise governance framework, products and services, policies, ... training.** + **Experience responding to client complaints within a bank or broker - dealer .** + **Experience reviewing and providing guidance on advertising and… 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 ... senior management of the Bank with respect to significant regulatory compliance risk matters. + Empowered to make prudent...marketing materials for a broker - dealer /bank.** + **Prior testing, audit or business… more
- Bank of America (New York, NY)
- …law firm and/or in house at a financial company + Experience with broker dealer regulations, Prime Finance, ISDA-based OTC equity derivatives, Securities lending ... Securities Lending, Clearing and Settlement, and OTC derivatives. Provides advice on broker - dealer regulations, new and existing products or services related to… more
- Mizuho Corporate Bank (New York, NY)
- …designed to add value and improve Mizuho Bank's US operations including derivative activities, broker dealer and swap dealer businesses. Based in the New ... areas of the bank to evaluate the effectiveness of risk management and governance processes. Along with its counterparts in London, Hong Kong and Singapore, IADA… more
- TD Bank (New York, NY)
- …equivalent experience at a regulatory body (eg, leading a bank or broker / dealer exam team). + Surveillance experience at Financial Market Regulator (eg, SEC, ... that alert review processes align with firm requirements and global regulatory expectations. **Department Overview:** Our team of trusted Surveillance Compliance… more
- Santander US (New York, NY)
- …of the US Fixed Income trading/ regulatory framework, including FINRA, SEC broker dealer regulations and other relevant bank regulations; knowledge of FRB, ... and assist in the preparation of management information reporting and governance materials; Ensure timely regulatory filings and certifications. Qualifications:… more
- Wells Fargo (Westport, CT)
- …+ 2+ years of financial services industry experience + Experience in compliance or broker - dealer governance **Job Expectations:** + US only: Obtaining and/or ... through meaningful statistics + Develop expertise in firm, compliance and regulatory policies and procedures + Collaborate and consult with Financial Advisors,… more
- NatWest Markets (Stamford, CT)
- …management, and reference data functions / flow. + Direct understanding of US regulatory requirements specific to Broker Dealer Operations. + Individual ... incidents. + Ensure Broadridge preparedness on any Industry, Change, and Regulatory initiatives. + Identifyand own opportunities to re-engineer processes & controls… 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 ... management and US Compliance personnel on relevant compliance issues, the regulatory environment, and Compliance Department initiatives by actively participating in… more
- Citigroup (New York, NY)
- …proposals and new financial product proposals in Fixed Income Credit and Broker Dealer and Banking products, and provide independent liquidity risk ... and cashflow trends in the economic environments. Enhance firm-wide liquidity risks governance frameworks to improve responsiveness to changes in the regulatory … more
- Mizuho Corporate Bank (New York, NY)
- …to add value and improve Mizuho Bank's US operations including the derivatives and broker dealer businesses. Based in the New York Metro area, IADA staff ... areas of the bank to evaluate the effectiveness of risk management and governance processes. Along with its counterparts in London, Hong Kong and Singapore, IADA… more