- SMBC (New York, NY)
- …to the President and is responsible for overseeing the management of the broker dealer 's compliance risk and is represented by the Chief Compliance Officer ... Compliance, IT Risk and Training committees. The Compliance Advisory Vice President role assists in managing a...years of regulatory and/or advisory compliance experience at a broker dealer . + A solid foundation in… more
- Citigroup (New York, NY)
- **Position Overview:** Citi's Global Broker - Dealer Legal Entity Treasury team is seeking a highly qualified AVP candidate to support Broker - Dealer ... and oversight requirements within the Treasury organization. **Team Description:** The Global Broker - Dealer Legal Entity Treasury team reports to the Global … more
- Morgan Stanley (New York, NY)
- …funds and connect with them potential investors. *Description* *_Associate and Vice President level positions_*within Morgan Stanley's Institutional Equity ... environment * 1-2 years experience negotiating trading agreements at broker / dealer , buy-side firm and/or law firm *...and between $140,000 - $250,000 per year for a Vice President at the commencement of employment.… more
- JPMorgan Chase (Apple Valley, CA)
- …alternative solutions with financial advisors from wirehouse, private bank, RIA, independent broker / dealer , and JP Morgan Chase affiliate channels. + Proactively ... contact broker - dealer firms to identify avenues for increased penetration, including but not limited, to new advisor referrals, conference/meeting opportunities,… more
- SMBC (Jersey City, NJ)
- …portfolio of benefits to its employees. **Role Description** SMBC is seeking a Vice President , Accounting Policy Specialist. The Vice President ... SMBC Americas Holdings, Inc. and its US subsidiaries (including a broker dealer , lessor entities, swap dealer , commercial bank, etc.). **Responsibilities**… more
- JPMorgan Chase (Jersey City, NJ)
- …advice, guidance, and regulatory support to the JP Morgan Wealth Management Compliance broker - dealer (JP Morgan Securities, LLC) offering + Take the lead on ... for the Retail Non-Deposit Investment Products (RNDIP) program for the consumer bank/ broker - dealer to facilitate a consistent and cohesive approach **Required… more
- Broadridge Financial Solutions (Newark, NJ)
- …along the way, come join the Broadridge team. Broadridge is hiring! Were seeking a Vice President of Risk Management and Operations Controls. You will have the ... years of experience in a risk mgmt. within a financial services or broker dealer environment + Experience with regulatory agencies such as FINRA, SEC + Excellent… more
- Morgan Stanley (New York, NY)
- …**Title:** *Portfolio Strategy Consultant - Global Sales & Marketing - Vice President * **Location:** *New York-New York* **Requisition ID:** *3258109* ... relationships preferred. - Established relationships with decision makers at national broker / dealer and distribution platform. - Successful track record of… more
- JPMorgan Chase (New York, NY)
- …and field execution together to better serve our Defined Contribution clients. As a Vice President in the Retirement Global Strategic Relations team at JPMorgan ... and strategic modeling. This role provides an opportunity to lead on selected broker - dealer , third party administrator, and other firms, and to contribute to the… more
- SMBC (Jersey City, NJ)
- …its employees. **Role Description** SMBC Nikko Securities America, Inc, a registered broker dealer , provides investment securities and other financial services ... of accounting and financial reporting process + Good knowledge of securities broker dealer business, financial products and regulatory reporting (SEA 15c3-1)… more
- Citigroup (New York, NY)
- The role is in the Broker Dealer Regulatory Reporting Department, which is responsible for ensuring the capital adequacy of all of Citi's US broker dealers ... the monthly FOCUS reports for each and ensuring that the primary broker dealer , Citigroup Global Markets Inc. is compliant with the customer protection rule.… more
- Wells Fargo (Washington, DC)
- **About this role:** Wells Fargo is seeking an Assistant General Counsel, Vice President to support mortgage and consumer lending initiatives within the Wealth ... multiple lines of business within Wealth and Investment Management (including retail broker dealer , investment advisory, private bank and trust and lending).… more
- JPMorgan Chase (San Diego County, CA)
- …marking the initial engagement of bank-only clients with Wealth Management. As a Vice President , Private Wealth Planner within JP Morgan Wealth Management, you ... limited to, financial planning, goals-based investing, financial advisory at a broker - dealer , RIA and/or a private bank, affluent/high-net-worth solutions, and… more
- DA Davidson Companies (Denver, CO)
- …and experienced professional to join the Finance team as a Treasury Associate Vice President (AVP), focused on financial risk management and treasury operations. ... capital markets, treasury operations, and/or cash management, preferably within a broker - dealer or other financial institution*Strong knowledge of capital… more
- SMBC (New York, NY)
- …offers a competitive portfolio of benefits to its employees. **Role Description** The Vice President - Counsel role for Sumitomo Mitsui Banking Corporation ... Security, Operations, Procurement, Third-Party Risk, Human Resources, Capital Markets, Nikko ( broker dealer ), and Corporate Services. In particular: + Serving… more
- SMBC (Jersey City, NJ)
- …on technical regulatory issues involving our New York Branch, Bank Holding Company, broker / dealer and other affiliates. This is a hybrid role, with current ... technical knowledge of regulatory rules for our banks, bank holding and/or broker / dealer , as well as knowledge to challenge data populated in various regulatory… more
- SMBC (Jersey City, NJ)
- …Description** The SMBC Compliance Department monitors the corporate banking, investment banking and broker dealer activities of SMBC Group and reports on the ... administers the SMBC Employee Investment Policy, arranges for the registration of broker - dealer personnel, and conducts compliance training. In addition, the… more
- SMBC (New York, NY)
- …SMBC Nikko Securities America, Inc. (Nikko US) is an SEC-registered securities broker - dealer and member of the Financial Industry Regulatory Authority (FINRA) ... in Charlotte, NC, London and Hong Kong. SMBC CM is an established derivatives dealer with a broad product portfolio focused on interest rates and foreign exchange… more
- MUFG (New York, NY)
- …Risk Management with demonstrated familiarity including Sales and Trading; and familiarity with Broker - Dealer and applicable regulations, such as DFA Swap ... Dealer , Volcker and FINRA, SEC and NASD rules. + Experience working with financial industry regulators, including OCC, FRB, and FINRA + Deep knowledge of risk assessment, audit methodology, and audit execution + Demonstrated proficiency in technology as… more
- JPMorgan Chase (New York, NY)
- …+ Prior experience in private markets preferred. + Experience in retail, broker / dealer , mutual fund industry preferable. JPMorganChase, one of the oldest ... financial institutions, offers innovative financial solutions to millions of consumers, small businesses and many of the world's most prominent corporate, institutional and government clients under the JP Morgan and Chase brands. Our history spans over 200… more