- Citigroup (New York, NY)
- **Position Overview:** Citi's Global Broker - Dealer Legal Entity Treasury team is seeking a highly qualified AVP candidate to support Broker - Dealer ... and oversight requirements within the Treasury organization. **Team Description:** The Global Broker - Dealer Legal Entity Treasury team reports to… more
- TD Bank (New York, NY)
- …this role **Job Description:** **Preferred Qualifications:** TD Securities is looking for a broker - dealer accountant to join its Product Control division in New ... books and records and regulatory filings for its US broker -dealers as well as non broker dealers....meetings with the Equities Business. + Provide Commentary to Legal Entity, FP&A and Regulatory Controllers on P&L and… more
- MUFG (New York, NY)
- …practices. + Work closely with Global colleagues and US counterparts to ensure that Broker Dealer are aligned with peer broker dealer practices and ... provide more details. **Job Summary:** The US and Canada Broker Dealer Treasury team is part of...The AVP will partner extensively with Treasury, Finance, Operations, Legal and Business colleagues, in close collaboration with other… more
- Citigroup (Tampa, FL)
- …coordination of the day-to-day activities of the complaint intake function for Citi's broker - dealer , Citigroup Global Markets ("CGMI"); assistance with the ... with compliance and control; partners with operations, risk, compliance, legal and other entities to ensure accuracy and validity...of verbal and written client complaints for the retail broker dealer /RIA and insurance agency business. This… more
- SMBC (New York, NY)
- …all support functions. + Provide compliance subject matter expertise for some bank, Swap dealer and Broker dealer regulations applicable to support functions ... communications. + Experience working for a non-U.S. bank / broker dealer is highly desirable. + Familiarity...dealer is highly desirable. + Familiarity with US legal and regulatory requirements applicable to non-U.S. financial institutions… more
- Citigroup (New York, NY)
- …and payments, trade finance, securities services, as well as Citi's broker - dealer and swap- dealer businesses. Investigations Legal provides legal ... Citi Legal is seeking a mid-level attorney to join...demanding, fast-paced environment. + Experience working in a complex global environment highly desirable. + Prior experience working at… more
- SMBC (New York, NY)
- …regulatory advisory function and is responsible for overseeing the management of the broker dealer 's compliance risk, and is represented by the Chief Compliance ... requirements and other ad hoc investigations. + Work with Global Advisory team and other legal entities...Core Competencies/Skills: + Extensive Compliance Advisory experience at a broker dealer . + Strong knowledge in US… more
- SMBC (New York, NY)
- …regulatory advisory function and is responsible for overseeing the management of the broker dealer 's compliance risk, and is represented by the Chief Compliance ... requirements and other ad hoc investigations. + Work with Global Advisory team and other legal entities...and Skills** + Extensive Compliance Advisory experience at a broker dealer covering fixed income and/or fixed… more
- JPMorgan Chase (Brooklyn, NY)
- …CIB Markets entities in North America, primarily JP Morgan Securities LLC, the US Broker - Dealer ; + Working with LOB financing desks on funding strategy; + ... Join our fast-paced team as a Markets Legal Entity Treasury Associate! As a Markets ...strength and the diverse talents they bring to our global workforce are directly linked to our success. We… more
- T. Rowe Price (Owings Mills, MD)
- …as a subject matter expert ("SME") for the Director, North America Compliance, Broker Dealer in monitoring and enhancing compliance program including review of ... We are a premier asset manager focused on delivering global investment management excellence and retirement services that investors...reviews policies and procedures for multiple areas of the broker dealer through the FINRA Rule 3130… more