SWM Holding Members
Richard Counts
Position Available
Position Available
Founder, Chairman of the Board of Trustees, CEO - Global Operations, Retired US Army "Mustang" Officer and former member of the USMC as enlisted. Disruptive Entrepreneur / Capitalist. Our Vision We are committed to redefining the investment banking landscape, particularly for high net worth entities. Our dedication to innovation and excel
Founder, Chairman of the Board of Trustees, CEO - Global Operations, Retired US Army "Mustang" Officer and former member of the USMC as enlisted. Disruptive Entrepreneur / Capitalist. Our Vision We are committed to redefining the investment banking landscape, particularly for high net worth entities. Our dedication to innovation and excellence drives us to deliver unparalleled financial solutions. By deploying only proven, reliable processes, systems, products & services, we are better positioned to ensure our clients achieve their financial goals.
Position Available
Position Available
Position Available
Senior VP for Business Development Global Operations in Direct Marketing, focusing on Global Operations and delivering financial solutions for high net worth entities within the investment banking sector.
Position Available
Position Available
Position Available
Cross Border Supervisory Officer
Ensures legal, regulatory, and policy adherence for international wealth management. They monitor complex cross-border transactions, uphold Know-Your-Client (KYC) standards, manage reputational and compliance risks, and act as a critical control interface between regional markets and central sales managemen
Cross Border Supervisory Officer
Ensures legal, regulatory, and policy adherence for international wealth management. They monitor complex cross-border transactions, uphold Know-Your-Client (KYC) standards, manage reputational and compliance risks, and act as a critical control interface between regional markets and central sales management. Core Responsibilities
- Risk & Compliance Management: Ensure adherence to Sarbanes-Oxley (SOX), SEC, and FINRA guidelines. Partner with Compliance to develop cross-border policies and mitigate risk.
- Surveillance & Monitoring: Monitor client accounts, transactions, and activities for potential cross-border regulatory or compliance breaches.
- Issue Resolution: Act as the primary escalation point for complex client, operational, and trade-related issues.
- Audit & Vetting: Assist branches in internal audits, branch reviews, and executing corrective action plans for failed audits.
Position Available
Position Available
Position Available
Business Development for North America focuses on providing tailored financial solutions to high net worth entities, enhancing their access to investment banking services.
Position Available
Position Available
Position Available
Latin America Division - Senior VP for Mexico, Central and South America Operations, focusing on providing financial solutions for high net worth entities in the realm of investment banking.
Position Available
Position Available
Position Available
Senior VP for Risk Management - Global Operations, focusing on providing financial solutions for high net worth entities in the investment banking sector.
Position Available
Position Available
Position Available
Senior VP for Business Development focusing on financial solutions for high net worth entities in South Africa and Western Europe, with expertise in investment banking.
TBD
Position Available
Position Available
Africa Division - Senior VP for Africa Operations, focusing on delivering financial solutions to high net worth entities and enhancing our investment banking services.