Key Responsibilities: Manage and develop team members, overseeing work performed by outsourced operations teams... best practices, streamline operations, increase automation, and strengthen control frameworks. Perform daily middle office tasks...
laws and broker-dealer operations. Deep knowledge of conflicts management, insider trading regulations, and information... of benefits to its employees. Role Description SMBC's Compliance Department is seeking a highly experienced Head of Americas...
and will contribute analysis and translation of various Broker-Dealer regulatory requirements in collaborations with other stakeholders... and expansion of this new team. The role reports into the Head of Operations Regulatory Reporting. Responsibilities Generate...
and will contribute analysis and translation of various Broker-Dealer regulatory requirements in collaborations with other stakeholders... and expansion of this new team. The role reports into the Head of Operations Regulatory Reporting. Responsibilities Generate...
) will work within the Legal Department, reporting to the Executive Director and Head of the Technology, Operations...-Party Risk, Human Resources, Capital Markets, Nikko (broker dealer), and Corporate Services. In particular: Serving...
including the derivatives and broker dealer businesses. Based in the New York Metro area, IADA staff members perform various... as an independent, objective assurance and consulting function, designed to add value and improve Mizuho Bank’s U.S. operations...
, and operational services. Provide general legal support to the broker-dealer. registered investment adviser and technology affiliate... and investment advisory and/or broker-dealer issues. Prior corporate legal experience within the financial services industry...
, and operational services. Provide general legal support to the broker-dealer. registered investment adviser and technology affiliate... and investment advisory and/or broker-dealer issues. Prior corporate legal experience within the financial services industry...
of Broker-Dealer (15c3-1) & IB accounting practices Experience of Product Control processes and Valuation Risk gained working...) is a New York based FINRA member broker-dealer, and wholly owned independent subsidiary of Joh. Berenberg, Gossler & Co. KG...
Bank’s U.S. operations including derivative activities, broker dealer and swap dealer businesses. Based in the New York... with annual planning, coordinate with Head Office, and assist with various reporting. Job Description Under the direction...
including the derivatives and broker dealer businesses. Based in the New York Metro area, IADA staff members perform various... as an independent, objective assurance and consulting function, designed to add value and improve Mizuho Bank’s U.S. operations...
Desirable: Strong knowledge of bank and broker dealer operations Relationship management Capacity to cooperate Ability... of bank and broker dealer operations Series 99 Any specific skills knowledge in using core IT systems of the Bank...
and reliability Fluent in English Desirable: Strong knowledge of bank and broker dealer operations Relationship management... Desirable: Strong knowledge of bank and broker dealer operations Series 99 Any specific skills knowledge in using core IT...
Desirable: Strong knowledge of bank and broker dealer operations Relationship management Capacity to cooperate Ability... of bank and broker dealer operations Series 99 Any specific skills knowledge in using core IT systems of the Bank...