operations in the United States, including a New York branch and subsidiaries including the broker-dealer Deutsche Bank...Job Description: Job Title: Head of US Bank Regulatory Legal Corporate Title: MD Location: New York Overview...
to asset management related products and services such as broker dealer, investment advisory, fixed income, and equities... will support the Americas Head of AFC and Compliance Testing in leading reviews, tests, and branch inspections designed to provide...
advisor, OCC regulated trust company, SEC registered/FINRA member Broker Dealer, FDIC insured depository institution... banking services, to clients with North American operations. At our core, we are a relationship bank and strive to build...
, documentation, and reporting approaches) 2. Familiarity with regulatory requirements for Swap-Dealer, Broker-Dealer and Bank... is expected to appropriately escalate risk-related matters in a timely manner to the Risk Coordination Team Lead and to the Head...
including the derivatives and broker dealer businesses. Based in the New York Metro area, IADA staff members perform various... as an independent, objective assurance and consulting function, designed to add value and improve Mizuho Bank’s U.S. operations...
requirements for U.S. securities broker-dealer is a plus. Experience 8-10 years tax experience Must demonstrate initiative... transfer pricing compliance for the US operations). Dealing with ad hoc US tax queries within the business (whether in NY...
including the derivatives and broker dealer businesses. Based in the New York Metro area, IADA staff members perform various... as an independent, objective assurance and consulting function, designed to add value and improve Mizuho Bank’s U.S. operations...
of Broker-Dealer (15c3-1) & IB accounting practices Experience of Product Control processes and Valuation Risk gained working...) is a New York based FINRA member broker-dealer, and wholly owned independent subsidiary of Joh. Berenberg, Gossler & Co. KG...
Bank’s U.S. operations including derivative activities, broker dealer and swap dealer businesses. Based in the New York... with annual planning, coordinate with Head Office, and assist with various reporting. Job Description Under the direction...
Desirable: Strong knowledge of bank and broker dealer operations Relationship management Capacity to cooperate Ability... of bank and broker dealer operations Series 99 Any specific skills knowledge in using core IT systems of the Bank...
and will contribute analysis and translation of various Broker-Dealer regulatory requirements in collaborations with other stakeholders... and expansion of this new team. The role reports into the Head of Operations Regulatory Reporting. Responsibilities Generate...
and reliability Fluent in English Desirable: Strong knowledge of bank and broker dealer operations Relationship management... Desirable: Strong knowledge of bank and broker dealer operations Series 99 Any specific skills knowledge in using core IT...
Desirable: Strong knowledge of bank and broker dealer operations Relationship management Capacity to cooperate Ability... of bank and broker dealer operations Series 99 Any specific skills knowledge in using core IT systems of the Bank...
and will contribute analysis and translation of various Broker-Dealer regulatory requirements in collaborations with other stakeholders... and expansion of this new team. The role reports into the Head of Operations Regulatory Reporting. Responsibilities Generate...
and will contribute analysis and translation of various Broker-Dealer regulatory requirements in collaborations with other stakeholders... and expansion of this new team. The role reports into the Head of Operations Regulatory Reporting. Responsibilities Generate...
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