COMMERCIAL BROKER DEALER CHIEF jobs in NEW YORK CITY NY, United Kingdom

NYC 299 Park Avenue (22957), United States of America, New York, New York Commercial Broker Dealer Chief Compliance... Officer - Sr. Director The Sr. Director will be the Commercial Broker Dealer Chief Compliance Officer (“BD CCO”) for three...

for every future! Purpose: Acts as the Chief Compliance Officer for the U.S. broker dealer and Head of Corporate Functions...: A minimum of 15 years of broker-dealer regulatory experience and at least 5 years of experience managing an advisory compliance team...

for every future! Purpose: Acts as the Chief Compliance Officer for the U.S. broker dealer and Head of Corporate Functions...: A minimum of 15 years of broker-dealer regulatory experience and at least 5 years of experience managing an advisory compliance team...

fixed income debt instruments in a Bank broker/dealer platform, sourcing bonds for the retail and institutional clients... by updating computerized inventory and announcing any changes. Establish and maintain good relations with the broker/dealer...

advisory function to the President and is responsible for overseeing the management of the broker dealer's compliance risk...: A solid foundation in US securities laws and regulations and broker dealer operations. Ability to communicate this knowledge...

preferred. Experience in retail, broker/dealer, mutual fund industry preferable. About Us: JPMorgan Chase & Co... will assist in the research process, this is not a primarily research-oriented role. The candidate will report to the Chief Market...

of the IDL Dashboard Partner with the broker/dealer and other Treasury teams to drive transparency and anticipate liquidity...Job Description: Treasury and Chief Investment Office is responsible for firm-wide asset and liability management...

our US broker dealer, Lloyds Securities Inc. Lloyds Bank is committed to attracting, retaining and developing the best talent in...-focused retail and commercial bank with more than 30 million customers globally. We have been operating in North America...

and is responsible for overseeing the management of the broker dealer's compliance risk, and is represented by the Chief Compliance... Advisory experience at a broker dealer. Strong knowledge in US securities laws, rules and regulations and broker dealer...

individual will support activities within our swap dealer and broker dealer businesses including derivatives, FX, repo... a range of commercial and investment banking services to its corporate, institutional, and municipal clients. It connects a diverse client...

Dashboard Partner with the broker/dealer and other Treasury teams to drive transparency and anticipate liquidity needs...Job Description: Treasury and Chief Investment Office is responsible for firm-wide asset and liability management...