such as a Private Bank or Broker-Dealer. Specific experience in municipal bonds, both primary and secondary markets. Experience... and reporting of fixed income brokerage transactions. Increase client participation across the entirety of fixed income brokerage...
providing advisory support to a broker-dealer equities sales and trading business. Knowledge of relevant SEC and FINRA rules... with sales and trading management and US Compliance personnel on relevant compliance issues, the regulatory environment...
providing advisory support to a broker-dealer equities sales and trading business. Knowledge of relevant SEC and FINRA rules... with sales and trading management and US Compliance personnel on relevant compliance issues, the regulatory environment...
to all of Scotiabank's U.S. broker-dealer (including internal inspections), banking, investment management activities, corporate functions... testing or audit. Experience/background in compliance applicable to broker-dealer internal inspections, institutional trading...
to all of Scotiabank’s U.S. broker-dealer (including internal inspections), banking, investment management activities, corporate functions... testing or audit. Experience/background in compliance applicable to broker-dealer internal inspections, institutional trading...
within Finance New York is responsible for all regulatory and financial reporting for ING’s Swap Dealer, ING Capital Markets (INGCM... reporting rules. INGFM is a registered broker-dealer with the Securities and Exchange Commission (SEC), a member of the...
information for analysis and reporting. Achieves compliance goals by maintaining current knowledge of regulatory requirements... with electronic trading, algorithmic trading, and/or direct market access at a regulator/self-regulatory organization and/or broker...
of Broker-Dealer back office functions and associated regulatory requirements Experience reviewing operational reporting (e.g... securities. To date, Prometheum has built multiple broker-dealers traversing novel areas and a large technology stack...
through our US broker dealer, Lloyds Securities Inc. Lloyds Bank is committed to attracting, retaining and developing the... accordance with the Bank’s policies, procedures and reporting requirements as well as any relevant regulatory and statutory...
our US broker dealer, Lloyds Securities Inc. Lloyds Bank is committed to attracting, retaining and developing the best talent in... Handle all related risks in accordance with the Bank’s policies, procedures and reporting requirements as well as any...
Over the course of time, build SME knowledge (from accounting, reporting, regulatory perspectives) of the environment the... experience highly preferred Prior working experience of 5+ years in a similar industry (Banking, Broker-Dealer etc.) and ideally...
including Capital Markets, Compliance, Risk Management, and IT to develop a stronger strategy for banking/broker-dealer audit... Bring 5+ years of progressive banking/broker-dealer experience in audit, risk, compliance, and/or capital markets...
including Capital Markets, Compliance, Risk Management, and IT to develop a stronger strategy for banking/broker-dealer audit... Bring 5+ years of progressive banking/broker-dealer experience in audit, risk, compliance, and/or capital markets...
opportunity for credit market and products. Qualifications: 6+ years’ experience, ideally in a major bank or broker dealer... Boundary work stream, one of Citi’s important regulatory directives and its implementation will constitute a highly visible...
for day-to-day monitoring and surveillance of the Global Markets Division (“GMD”) Swap Dealer and U.S. Broker-Dealer. Key... Reconstruction, etc.) -Review daily broker-dealer surveillance (ex. Off-Market, Markup/Markdown, etc.) -Perform routine...
for day-to-day monitoring and surveillance of the Global Markets Division (“GMD”) Swap Dealer and U.S. Broker-Dealer. Key... Reconstruction, etc.) -Review daily broker-dealer surveillance (ex. Off-Market, Markup/Markdown, etc.) -Perform routine...
Markets Division (“GMD”) Swap Dealer and U.S. Broker-Dealer. Key Responsibilities: -Assist in developing and implementing... for swap dealer activity (ex. Pre-Trade Mid-Market Mark, Daily Marks, Trade Reconstruction, etc.) -Review daily broker-dealer...
and forecasting for CIB Markets entities in North America, primarily JP Morgan Securities LLC, the US Broker-Dealer; working with LOB..., synthetics etc.) Knowledge or awareness of funding & liquidity management principles and regulatory developments in the treasury...
+ years of related experience in a broker/dealer operations and/or compliance position FINRA Series 7, 24, 63 licenses.... Responsibilities include, but are not limited to: Assist with the design and execution of regulatory compliance testing for Capital...
and broker dealer fixed income operations including TRACE reporting, Primary Dealer and fixed income futures activity... and discipline to follow up on issues until resolved. 10+ years of regulatory compliance experience at a broker dealer. BA/BS...