- M&T Bank (Boston, MA)
- …matters. Personal responsibility and accountability to ensure FINRA compliance in the Institutional Broker Dealer . This position has flexibility on ... Inc. (MTS), a wholly owned subsidiary of M&T Bank Corporation provides institutional broker dealer services focused on supporting corporate clients through… more
- SMBC (New York, NY)
- …advisory function to the President and is responsible for overseeing the management of the broker dealer 's compliance risk and is represented by the Chief ... of commercial and investment banking services to its corporate, institutional , and municipal clients. It connects a diverse client...years of regulatory and/or advisory compliance experience at a broker dealer . + A solid foundation in… more
- SMBC (New York, NY)
- …as a regulatory advisory function and is responsible for overseeing the management of the broker dealer 's compliance risk, and is represented by the Chief ... Job Knowledge and Core Competencies/Skills: + Extensive Compliance Advisory experience at a broker dealer . + Strong knowledge in US securities laws, rules and… more
- SMBC (New York, NY)
- …as a regulatory advisory function and is responsible for overseeing the management of the broker dealer 's compliance risk, and is represented by the Chief ... of commercial and investment banking services to its corporate, institutional , and municipal clients. It connects a diverse client...and Skills** + Extensive Compliance Advisory experience at a broker dealer covering fixed income and/or fixed… more
- Capital One (New York, NY)
- …Senior Manager The Compliance Advisor Senior Manager will report directly to the Commercial Broker Dealer Chief Compliance Officer. This role will support ... three institutional FINRA registered broker dealers and provide compliance support to the Capital...framework. The Compliance Advisor Senior Manager also assists the Broker Dealer CCO in keeping abreast of… more
- Cleveland Research Company (Cleveland, OH)
- …product in the market. Cleveland Research Company, LLC, an equity research firm and Broker Dealer registered in Cleveland, Ohio, is seeking a qualified candidate ... foundation of CRC in the equity research business with institutional money managers as our primary client base (mutual...and mitigating potential conflicts and risks associated with a Broker Dealer firm. Our Compliance Department develops… more
- JPMorgan Chase (New York, NY)
- …welcome. + Prior experience in private markets preferred. + Experience in retail, broker / dealer , mutual fund industry preferable. JPMorgan Chase & Co., one of ... and communicating market and economic insights to financial advisors and institutional clients. You'll shape the team's views on alternative asset classes… more
- JPMorgan Chase (New York, NY)
- …products and services marketed through a bank, registered investment adviser (RIA), or broker - dealer , and related SEC, OCC and FINRA rules and regulations + ... partners. **Job Responsibilities** + Lead compliance contact to the Outsourced Chief Investment Office (OCIO) team providing advice, guidance and oversight on… more