- NatWest Markets (Stamford, CT)
- Broker Dealer Advisory - VP Stamford,United States Permanent Full Time \#R-00246157 Our people work differently depending on their jobs and needs. From ... the department and the business._ **Job Description** The Compliance Advisory Officer reporting to the Compliance Advisory ...team andcross-functionally. The ideal candidate will have experience with broker - dealer and swap dealer rules… more
- HSBC (New York, NY)
- …Computations, FOCUS reports, and/or CFTC Segregation Computations, a plus + Knowledge of Broker - Dealer and FCM Management Program Advisory experience + ... which include but are not limited to: As our Vice President Compliance Risk Steward Regulatory Reporting...limited to completeness and accuracy of regulatoryfilings for the broker dealer ,FCM and Swap Dealer ;… more
- NatWest Markets (Stamford, CT)
- US Operations Oversight & Advisory , Vice President Stamford,United States Permanent Full Time \#R-00252575 Our people work differently depending on their ... functions / flow. + Direct understanding of US regulatory requirements specific to Broker Dealer Operations. + Individual must be self-motivated who is willing… more
- Siebert Williams Shank (New York, NY)
- …or the "Firm") is conducting a search for experienced Investment Banking candidates for Vice President to join its Infrastructure and Public team and work hybrid ... prior experience in public finance investment banking or municipal advisory will be considered. At SWS, all bankers are...sound regulatory capital base. We are a SEC-registered securities broker - dealer and member of the Financial Industry… more
- JPMorgan Chase (Chicago, IL)
- …products and solutions to meet their generational wealth management needs. As a Vice President Supervisory Manager in JP Morgan Wealth Management, you will ... skills** + Has a deep understanding and experience of advisory services and a multitude of products and complex...offered through JP Morgan Securities LLC (JPMS), a registered broker - dealer and investment advisor, member of FINRA… more
- TD Bank (New York, NY)
- …partners and groups. + 6 or more years of experience with a registered US broker dealer or regulator. + Knowledge of wholesale banking products and services, ... Assessment ratings. + Partner closely with the Risk Assessment and Compliance Markets Advisory teams, as necessary, to create a cohesive pipeline between the Risk… more
- BMO Financial Group (New York, NY)
- …reviews, Deal reports, risk assessments and attestations. **KEY ACCOUNTABILITIES** The Vice President , Investment Banking CMS will have responsibility for ... mitigate risk and support compliant revenue generating activities. The Vice President will act as a liaison...in a Compliance or Regulatory function covering a major Broker - Dealer . + 5-7 years of relevant experience… more
- BMO Financial Group (New York, NY)
- …& sales activities and applicable regulations surrounding them. + Knowledge of the Broker Dealer and Banking Regulations, which include but not limited to ... and investment banking, treasury management, as well as research and advisory services to clients around the world. #bmocapitalmarkets **MANDATE** Capital Markets… more
- Bank OZK (Fort Lauderdale, FL)
- …of work experience in self-sourcing investment management assets in a banking, broker - dealer or registered investment advisor related role, preferred. + ... & Abilities + Knowledge of a broad range of personal financial planning/ advisory and investment management/asset allocation concepts. + Knowledge of retail credit… more
- Atria Wealth Solutions (Vancouver, WA)
- …with non-deposit investment and insurance products as registered and licensed by a third-party broker dealer under agreement with Columbia CU. + Using only the ... to make life better by offering insurance, investments, and advisory services exclusively to our membership. Our CFS Advisor...broker dealer 's approved product list, provide investment… more