- 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 2 (19050), 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
- Comerica (Detroit, MI)
- …FOCUS or OBS report submissions. * Maintain the general ledger for the broker dealer , including recording entries, performing a monthly close process and ... reporting and accounting for Comerica Securities, a FINRA regulated broker - dealer and a subsidiary of Comerica, Inc....Management * Monitor and manage the company's daily cash balances to ensure compliance with parent company Regulation… 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)
- …Latin America. SMBC Nikko Securities America, Inc. is a SEC-registered securities broker - dealer and member of the Financial Industry Regulatory Authority (FINRA) ... US Swap Dealer ) and SMBC Nikko Securities Americas Inc (our US Broker - Dealer ), establishing processes to improve customer experience and support expansion of… 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
- Atria Wealth Solutions (Austin, TX)
- …rules and regulations set forth by the credit union, FINRA, SEC and the broker / dealer . + Represent the firm and assigned financial institution in relationships ... registered through CUSO Financial Services, LP (CFS). Member FINRA/SIPC. CFS is a broker / dealer and Registered Investment Advisor with a stable track record of… more
- Atria Wealth Solutions (Berkeley, CA)
- …rules and regulations set forth by the credit union, FINRA, SEC and the broker / dealer . + Represents the firm and assigned financial institution in relationships ... registered through CUSO Financial Services, LP (CFS). Member FINRA/SIPC. CFS is a broker / dealer and Registered Investment Advisor with a stable track record of… 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 (Jersey City, NJ)
- …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
- TD Bank (Mount Laurel, NJ)
- …to Wealth Management activities + 5 years of expeirence in broker dealer and RIA environments **Customer Accountabilities:** + Provides expert/specialized ... against financial crimes.Included in the US Wealth division is the registered broker - dealer and registered investment adviser (RIA). **Depth & Scope:** +… 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
- 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
- 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
- SMBC (Charlotte, NC)
- …spanning across the SMBC Capital Markets and Nikko securities teams, SMBC Americas Division's broker - dealer and swap- dealer entities. + This role will be ... also be eligible for an annual discretionary incentive award. In addition to cash compensation, SMBC offers a competitive portfolio of benefits to its employees.… more
- SMBC (Charlotte, NC)
- …financial institutions. Based in New York City, we are an SEC registered Broker dealer that provides financial products and services to global institutional ... also be eligible for an annual discretionary incentive award. In addition to cash compensation, SMBC offers a competitive portfolio of benefits to its employees.… more