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Headquartered in Tokyo and with a 400-year history, SMBC Group offers a diverse range of financial services, including banking, leasing, securities, credit cards, and consumer finance. Backed by the capital strength of SMBC Group and the value of its relationships in Asia, the Group offers a rang...

Assists in the development and refinement of M&T monitoring scripts. SMBC's Compliance Department Americas Division is seeking a VP of Swap Dealer Compliance Monitoring & Testing (M&T). This position will principally serve as a team member for M&T annual planning, monitoring and testing reviews. ...

CFTC Swap Dealer Regulatory Reporting. Head of Swap Dealer Regulatory Reporting. They work with over 1,000 institutional trading counterparties which makes them industry leaders and just got their Swap Dealer business approved.

Global Banking client is seeking a broker dealer operations administrator to join its growing team.

As a senior third line of defense professional, you will be responsible for the coordination and oversight of audit activities related to Treasury Services. Performs risk-focused fieldwork, in accordance with Internal Audit policies, methodologies, and standards to identify meaningful issues, ris...

Backed by the capital strength of SMBC Group and the value of its relationships in Asia, the Group offers a range of commercial and investment banking services to its corporate, institutional, and municipal clients. SMBC Nikko Securities America, Inc, a registered broker dealer, provides investme...

Manage and execute audits related to BNY's Broker-Dealer services, Treasury Services, and Collateral and Clearing Services. In-depth knowledge of financial regulations, industry standards and risk management practices related to broker-dealer operations, markets middle office and operations, clea...

The Compliance Anti-Money Laundering (AML) Risk Management Director for US Retail Brokerage/Broker-Dealer and Consumer Wealth is a senior management level position responsible for establishing internal procedures to prevent money laundering and assist in all matters concerning financial crimes in...

The Accounting team oversees financial reporting, regulatory reporting and management reporting functions. Work experience: 7 to 10 years of specialized experience in Financial Services and 2+ years Financial Reporting (broker dealer experience is a strong plus). Good knowledge of securities brok...

Deep understanding of broker-dealer services, investment advisory services, markets middle office and operations, clearance and collateral services; global payments, liquidity management, and trade finance services. ...

Our client is seeking a Compliance, Swap Dealer to join their team. The ideal candidate will have effective communication skills with the ability to articulate technical concepts and findings which will align successfully in the organization. Job Title: Compliance, Swap Dealer Location: ...

Conduct compliance reviews of swap dealer operations to ensure adherence to regulatory requirements and internal policies and procedures. Utilize Bloomberg and other systems to gather data and execute compliance reviews. Collaborate with internal stakeholders to resolve compliance issues and impl...

Our Area Sales Managers are individuals with the vision and dedication needed to assist our current and future dealer partners to sell more cars and trucks by financing more customers. Our Area Sales Manager is the face of the company to our number one customer – our dealers. The Area Sales Manag...

Development Manager Information Technology. Lead and manage a development team within Risk Technology division, ensuring efficient project delivery and technical oversight. Previous experience in Broker/Dealer Risk Technology is a plus. ...

As a Dealer Sales Representative - Residential, you will represent the Simpson Strong-Tie Company to achieve product sales in the Residential market in the Northern and Central New Jersey territory, while providing support service/training and ensuring that our products are in stock, well maintai...

Vice President, Compliance Independent Testing Examiner Long term contract position. Responsibilities: Develop compliance testing programs for specific business units and products based upon applicable laws, regulations, risks, and internal policies.Independently conduct compliance testing of r...

Our client is a financial group. They seek a VP, Senior Financial Reporting Specialist to join their Jersey City, NJ office. Responsibilities Review daily reports, including Trading P&L, Firm Inventory, and GL to subledger reconciliationsAssist the team with investigating reconciliation breaks ...

Global Prime Services technology is seeking a senior application developer for the Prime Broker Product Referential application platform. The platform is responsible for managing the Product Referential data – a critical function for the Prime Brokerage client and user community. The Product Refe...

Business Overview: Global Prime Services Technology is seeking a Senior Technology Manager to drive enhancements to our Prime Services client billing platform, standardizing our rates management and enhancing our P&L tracking. This role will support our Prime & Finance platform, which is a spec...

Through its proprietary automated sales and marketing platform, Mastermind, the company empowers dealers to close more deals by predicting future buyers and consistently marketing to them. In short, we help automotive dealerships generate success in their loyalty, service, and conquest portfolios...

Reporting to the Chief Revenue Officer, the National Vice President, Dealer Relations plays an integral role in driving the ongoing engagement, success, retention, and growth of Mastermind's dealer partners. Our national Dealer Relations team is responsible for supporting our customers and develo...

Reporting to the Chief Revenue Officer, the National Vice President, Dealer Relations plays an integral role in driving the ongoing engagement, success, retention, and growth of Mastermind's dealer partners. Our national Dealer Relations team is responsible for supporting our customers and develo...

Conduct compliance audits and risk assessments.

President and is responsible for overseeing the management of the broker dealer's compliance risk and is represented by the Chief Compliance Officer as either a member or observer of various committees such as the New Product, Underwriting, Risk Management, Compliance, IT Risk and Trainingcommitt...