and activities; Broker/Dealer products, services and activities; Swap Dealer and Securities Based Swap Dealer products, services... will also assist the CIB Regulation Desk team in explaining to US CIB the impact on CIB US businesses from other non-EU regulatory...
and with assigned business projects. Assist with regulatory filings such as Form ADV and CFTC reporting. Provide guidance and coaching... with a financial institution such as a broker/dealer and/or registered investment adviser. For Wealth Management Compliance roles...
, and other applicable regulations governing our broker-dealer and ATS. Manage regulatory relationships, including FINRA exams, reporting... business growth. Role Overview As GC & CCO, you will own the compliance function across our broker-dealer and alternative...
and sustainability. The position will primarily interface with Bank and Broker Dealer Operations with the incumbent acting as a key...: Treasury Clearing, Self-Clearing or Sponsored Repo, Implementation of Broadridge FI applications. Knowledge of Broker dealer...
to assist with the firm's financial and regulatory reporting duties and draft financial statements for approval by the Head... within the firm Assist with the monthly financial close process and external regulatory reporting process Coordination...
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...
reporting Manage all aspects of the limited purpose FINRA member broker-dealer (Series 7 not required but a plus) Manage... for all business lines Complete regulatory filings, including Form ADV, Form PF, lobbyist filings, AIFMD reporting and ad hoc investor...
: If you have not worked in a Broker-Dealer (Brokerage Firm) you do not meet the required criteria so please "DO NOT APPLY". The right... Must have 2-5 years of current human resources work experience at a Broker-Dealer. Payroll work experience a plus. HUGE...
such as capital markets, debt capital markets, investment banking, and corporate banking coverage as well as broker-dealer / swap... dealer regulatory framework such as SEC, FINRA, NFA, CFTC rules Required skills General knowledge...
and broker dealer policies and procedures. Other duties as assigned. Minimum Knowledge & Experience: High School diploma... with the review of administrative procedures to ensure consistency. Complies with all division policies and regulatory...
for the broker-dealer business units. Adapt quickly to ensure accurate daily reporting to senior management. Manage ad-hoc... reporting and performance analysis for broker-dealer business units. Provide support and perform research to address inquiries...
for the broker-dealer business units. Adapt quickly to ensure accurate daily reporting to senior management. Manage ad-hoc... reporting and performance analysis for broker-dealer business units. Provide support and perform research to address inquiries...
Securities America, Inc. (Broker-Dealer) and SMBC Capital Markets, Inc. (Swap Dealer). The anticipated salary... Holding Company, broker dealer, swap dealer) with focus on: documenting data requirements and data quality rules criteria...
Securities America, Inc. (Broker-Dealer) and SMBC Capital Markets, Inc. (Swap Dealer). The anticipated salary... (e.g. Bank Holding Company, broker dealer, swap dealer) with focus on: documenting data requirements and data quality rules...
experience at a bank, credit union, nonbank lender, and/or regulatory agency 5+ years of senior broker-dealer compliance... and procedures; training; monitoring and testing; complaints; regulatory change management; vendor management; reporting; and Fair...
such as capital markets, debt capital markets, investment banking, and corporate banking coverage as well as broker-dealer / swap... dealer regulatory framework such as SEC, FINRA, NFA, CFTC rules Required skills General knowledge...
, investment banking, and corporate banking coverage as well as broker-dealer / swap dealer regulatory framework such as SEC, FINRA... / questions from Regulatory Exams and Internal Audit reviews covering Compliance Testing and Monitoring · Other tasks that may...
Management businesses which include the broker dealer, RIA, asset management, trust company, and investment banking.... This is a highly visible role interacting with senior management teams across the Firm. Reporting to the Head of Risk Management...
Broker Dealer Sales and Trading compliance experience and be comfortable interacting directly with all levels of Sales... Qualifications Bachelor’s Degree. 5-7 years’ experience in a supervisory or compliance role of a broker-dealer covering sales...
business line. Proper presentation of financial, regulatory & management reporting for applicable entities in accordance... to the ledger Experience in Broker Dealer and Swap Dealer business is a plus. Take ownership of the quality and reliability...