- Capital One (New York, NY)
- NYC 299 Park Avenue (22957), United States of America, New York, New York Commercial Broker Dealer Chief Compliance Officer - Sr. Director The Sr. Director will ... be the Commercial Broker Dealer Chief Compliance Officer ("BD CCO")...The BD CCO will interact with and advise senior management of the CBD LOBs and ensure effective methods… more
- Capital One (Mclean, VA)
- Center 1 (19052), United States of America, McLean, Virginia Commercial Broker Dealer Compliance Advisor - Senior Manager The Compliance Advisor Senior Manager ... will report directly to the Commercial Broker Dealer Chief Compliance Officer. This role...and state laws and regulations, within an enterprise-level risk management framework. The Compliance Advisor Senior Manager also assists… more
- City National Bank (Los Angeles, CA)
- **SR. COMPLIANCE ANALYST - BROKER DEALER INVESTMENT ADVISORY** **WHAT IS THE OPPORTUNITY?** Colleague is responsible for assisting CNS Branch Manager with daily ... supervision of Broker Dealer and Investment Advisory activity. Responsible...and to identify areas of improvement and works with management to create and implement new processes and procedures.Act… more
- TD Bank (New York, NY)
- …this role **Job Description:** **Preferred Qualifications:** TD Securities is looking for a broker - dealer accountant to join its legal entity control division in ... limited to: + Assist in the coordination, preparation and management of our timely month end close. + Review...Series 27 preferred but not required. Working knowledge of broker - dealer regulatory environment is a must. +… more
- Guardian Life (Holmdel, NJ)
- …serve as the expert on all aspects of our managed account model management , trading platform, annuity operations as well as all associated custody, clearance, and ... on the following functions + Advisor as PM: model creation, management , trading + Multi-Account/Strategy proposals and implementation + Envestnet Trading methodology… more
- MUFG (New York, NY)
- …for US Broker Dealer including Intraday monitoring, collateral management , cash flow forecasting, stress testing, and compliance with ALM guidelines. ... management reporting and analysis for the Canadian Broker Dealer . The AVP will partner extensively...for liquidity. + Develop and enhance collateral monitoring and cash flow forecasting reporting. + Continue to build out… more
- Hold Brothers (New York, NY)
- …- dealer experience working in Operations and/or Finance as a FINOP or Finance management position at a self-clearing broker - dealer . + Expert knowledge of ... Hold Brothers Capital, LLC, a leading self-clearing proprietary broker - dealer , is seeking an EVP of...including but not limited to Operations, Finance, Compliance, Risk Management , Cash Management , and Treasury… more
- SMBC (New York, NY)
- …team serves as a regulatory advisory function and is responsible for overseeing the management of the broker dealer 's compliance risk, and is represented ... for an annual discretionary incentive award. In addition to cash compensation, SMBC offers a competitive portfolio of benefits...Core Competencies/Skills: + Extensive Compliance Advisory experience at a broker dealer . + Strong knowledge in US… more
- Mizuho Corporate Bank (New York, NY)
- …Mizuho Bank and a US bank holding company, including subsidiaries such as the broker dealer and derivative trading entities. The candidate will work within ... entities (FBO Branch and IDI subsidiary) as well as broker dealer and derivative swap dealer...or Liquidity Risk function. + Understanding of Liquidity risk management concepts, including cash flow forecasting, liquidity… more
- SMBC (New York, NY)
- …scope of this function will encompass SMBC Group's Americas Division, inclusive of US broker dealer and registered swap dealer ; SMBC Group's wholesale and ... focus of this role will be on the US broker dealer and US swap dealer...dealer . The candidate should have a strong risk management / internal control mindset to apply and assess… more
- SMBC (New York, NY)
- …as a regulatory advisory function to the President and is responsible for overseeing the management of the broker dealer 's compliance risk and is represented ... for an annual discretionary incentive award. In addition to cash compensation, SMBC offers a competitive portfolio of benefits...solid foundation in US securities laws and regulations and broker dealer operations. + Ability to communicate… 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 ... for an annual discretionary incentive award. In addition to cash compensation, SMBC offers a competitive portfolio of benefits...and Hong Kong. SMBC CM is an established derivatives dealer with a broad product portfolio, with specific emphasis… more
- Tradeweb (New York, NY)
- …Accounting department. The ideal candidate will have extensive knowledge of broker dealer operations, securities regulations, and financial reporting standards. ... data + Daily revenue tracking for estimates and internal management queries + Prepare ad hoc requests from Dealerweb...+ 5+ years of experience in securities accounting and/or broker dealer operations within the financial services… more
- SMBC (New York, NY)
- …of business processes in at least three of the following: commercial banking; broker - dealer sales and trading; financial and regulatory reporting; AML and BSA; ... for an annual discretionary incentive award. In addition to cash compensation, SMBC offers a competitive portfolio of benefits...in at least three of the following: commercial banking; broker - dealer sales and trading; financial and regulatory… more
- Morgan Stanley (New York, NY)
- …related services, including investment management , brokerage, lending, deposits, and cash management through our network of 17,000 Financial Advisors, ... Group ("PBG") offers a variety of lending, deposit, and cash management solutions such as securities-based loans,...The role requires an understanding of both bank and broker dealer SBL product offerings. In addition… more
- JPMorgan Chase (Portland, OR)
- …limited to, financial planning, goals-based investing, financial advisory at a broker - dealer , RIA and/or a private bank, affluent/high-net-worth solutions, and ... The Private Client experience at JP Morgan offers a pathway to Wealth Management through comprehensive, expert planning. The Private Wealth Planner (PWP) role is… more
- TD Bank (New York, NY)
- …other products, primarily fixed income + Advising on swap dealer , security-based swap dealer and broker dealer requirements + Research and provide advice ... proposed and newly enacted regulations. + Assist with regulatory compliance and conflict management related to existing and new business. + Assist in the development… more
- JPMorgan Chase (New York, NY)
- …office on continued evolution of the IDL Dashboard + Partner with the broker / dealer and other Treasury teams to drive transparency and anticipate liquidity ... and Chief Investment Office is responsible for firm-wide asset and liability management . Members of Treasury and Chief Investment Office are uniquely positioned to… more
- JPMorgan Chase (New York, NY)
- …+ Build and maintain relationships with investment bankers and analysts, the broker - dealer community, rating agencies, and legal professionals, among other ... Global Fixed Income, Currency and Commodities team (GFICC) at JP Morgan Asset Management is one of the world's deepest and best-resourced fixed income managers, with… more
- ElectriCities of North Carolina (Raleigh, NC)
- …degree in accounting, finance or a related field and/or at least 10 years' cash management , treasury, and/or accounting experience. + Proficiency in the MS ... outlined herein) Duties related to Investment Activities: + Daily cash flow management and forecasting for all...Research, identify, and coordinate the correcting of bank and/or broker / dealer errors in the delivery of investment… more