- SMBC (New York, NY)
- …SMBC offers a competitive portfolio of benefits to its employees. **Role Description** The Advisory Compliance team serves as a regulatory advisory function ... **Qualifications and Skills** Critical Job Knowledge and Core Competencies/Skills: + Extensive Compliance Advisory experience at a broker dealer. + Strong… more
- SMBC (New York, NY)
- …or as a member of a CRA team. + Experience working in a Compliance Advisory role covering either banking products/services or trading/capital markets businesses ... the Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets, Inc., SMBC...Americas Division ("CPAD"). This role will report to the Director who serves as Compliance Risk Assessment… more