- SMBC (New York, NY)
- …in real time as business is conducted and transactions are executed. **Role Objectives** The Broker Dealer Regulatory Governance Advisory Team within the ... and reporting. Regulatory Engagements: The Regulatory Governance Team supports SMBC's Broker - dealer entity in managing regulatory exams and… more
- Robert Half Legal (San Diego, CA)
- …A well-established financial services organization is seeking a Associate General Counsel - Broker - Dealer Regulatory Compliance to join its growing corporate ... Serve as day-to-day legal advisor to the broker - dealer and investment advisory platforms, focusing on regulatory...Manage and mentor a team of attorneys focused on regulatory oversight and governance . + Interface regularly… more
- Capital One (New York, NY)
- …**Program Oversight & Governance ** + Lead daily surveillance operations for both Broker - Dealer and Swap Dealer trading activities. + Oversee the ... Trade Surveillance Manager ( Broker - Dealer & Swap Dealer )...Participate in scenario testing, calibration reviews, and overall system governance . ** Regulatory & Audit Support** + Support… more
- Regions Bank (Atlanta, GA)
- …unless required by law. Such information will be stored in accordance with regulatory requirements and in conjunction with Regions' Retention Schedule for a minimum ... Five (5) years banking experience, with a concentration in audit, compliance or regulatory functions **Skills and Competencies** + Ability to analyze data and facts… more
- Vanguard (Malvern, PA)
- …high-impact legal agreements-from securities lending and repurchase transactions to broker / dealer trading and platform documentation. You'll partner with ... various legal documents for securities lending, repurchase agreements, as well as broker / dealer trading and platform agreements and supporting documentation. +… more
- SMBC (New York, NY)
- …frameworks - Track regulatory developments and interpret implications for swap dealer governance , reporting, and risk controls New Business and Issue ... dealer , and Nikko Risk - Lead issue governance , tracking, and compile closure packs of regulatory...estimation, documentation and internal controls). - Strong understanding of regulatory requirements applicable to Swap- Dealer , Broker… more
- SMBC (New York, NY)
- …- Track regulatory developments and interpret implications for swap dealer governance , reporting, and risk controls **Qualifications and Skills** ... entity. This role will focus heavily on issue management, governance coordination, reporting and execution of key regulatory...years of experience in risk management, counterparty risk, risk governance , broker - dealer risk, or swap… more
- SMBC (Charlotte, NC)
- …the Data Governance field for a Financial Institution (eg Bank Holding Company, broker dealer , swap dealer ) with focus on: documenting data requirements ... Nikko America's Data Management and Analytics Group, the Data Governance Analyst will be primarily responsible for supporting the...role will support both SMBC Nikko Securities America, Inc. ( Broker - Dealer ) and SMBC Capital Markets, Inc. (Swap… more
- SMBC (Jersey City, NJ)
- …knowledge of US regulatory rules, including capital requirements across banking, broker / dealer , and swap dealer entities. + Review and challenge ... issues involving our New York Branch, Bank Holding Company, broker / dealer , swap dealer and other...obligations to build firm-wide awareness and expertise. + Ensure governance and control standards are met for regulatory… more
- Santander US (Miami, FL)
- …for the execution of day-to-day controls related to the Broker Dealer . This includes ensuring high service quality, regulatory compliance, and alignment ... SEC/FINRA Regulatory Controls & Operational Oversight - VP Country:...or equivalent work experience 5-10+ Years of relevant experience; Broker Dealer experience. **Certifications:** * Other Risk… more