- SMBC (Jersey City, NJ)
- …testing of its broker / dealer (SMBC Nikko Securities America, INC). The Vice President is responsible for execution of the monitoring and testing program. ... Description** SMBC's Compliance Department Americas Division is seeking a Vice President of the Compliance Monitoring and...The candidate should have functional knowledge of applicable US broker dealer laws and regulations with specific… 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
- 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
- JPMorgan Chase (Columbus, OH)
- …valuable regulatory insight. As an Insurance and Wealth Management Attorney - Vice President , Assistant General Counsel within our Wealth Management Legal ... organization with demonstrated insurance experience. + Experience in insurance and broker - dealer matters, including knowledge of state insurance laws and… more
- Jackson National Life Insurance Company (Nashville, TN)
- …please login to Workday and apply through Jobs Hub._** **Job Purpose** **The Regional Vice President (RVP) is responsible for creating new and managing existing ... relationships with broker / dealer (BD) advisors to increase Jackson sales in the given territory. This is accomplished through meetings, seminars, campaigns and… 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
- NatWest Markets (Stamford, CT)
- US Client Services and Onboarding, Vice President Stamford,United States Permanent Full Time \#R-00240566 Our people work differently depending on their jobs and ... + In-depth knowledge of pre-trade client onboarding processes related to US broker -dealers, swap dealer and capital markets businesses with experience across… more
- JPMorgan Chase (New York, NY)
- …alternative portfolios to client needs. As an Illiquid Valuations Specialist - Vice President within Highbridge's Controllers team, you will be responsible ... and Skills** + Preferably with experience in a similar role at a broker / dealer or asset management firm JPMorganChase, one of the oldest financial institutions,… more
- SMBC (Charlotte, NC)
- …financial institutions. Based in New York City, we are an SEC registered Broker dealer that provides financial products and services to global institutional ... Operations Group within SMBC Nikko Securities America, Inc. is seeking a Vice President level candidate to provide operational support to the Fixed Income… 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
- Citigroup (Tampa, FL)
- …major regulatory, transformational and business change projects, with a particular focus on broker dealer matters. The individual should have a strong knowledge ... + Experience in transactional work, including cross-border experience + Knowledge of broker dealer regulatory requirements + Experience working in a major… more
- MUFG (Tempe, AZ)
- …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
- 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)
- …at this level has some understanding of the firm's different businesses (bank, broker - dealer and leasing) and the related economics. + Oversee tax provisioning, ... 10+ years' experience in tax/accounting of international and domestic banks, broker -dealers and financial institutions. Bachelor's degree in accounting or related… more
- Kestra Financial (Novi, MI)
- …potentially complex processes and/or concepts to clients + Successfully partner with Broker Dealer for new account establishment, account maintenance, and ... compliance. + Maintain Redtail CRM database; Manage Client and Prospective Client Work Flow and coordinate follow-up with Advisors + Maintain a compliant filing and scanning system with Laser Fiche + Answer incoming calls and direct/take messages appropriately… more
- SMBC (New York, NY)
- …Fixed Income, Equities, Futures and Credit Derivatives + Functional knowledge of Broker / Dealer and Market Making related compliance and risk management ... requirements & best practices + Strong communication ability, inclusive of conflict resolution and project management abilities **Requirements** + Work Experience: 7 to 10 years of specialized experience in Financial Services; 5 to 7 years of experience in a… more
- MUFG (Tempe, AZ)
- …financial services industry; previous working experience within Capital Markets, Asset Management, Broker Dealer , Finance, Treasury and or risk management + ... Strong knowledge of Operational Risk Management Programs and frameworks including (but not limited to): RCSA, Loss data, Products and Services, Scenario Analysis, KRM/KRI and Issue Management). + Significant experience managing complex and dynamic Third-Party… more
- Mizuho Corporate Bank (New York, NY)
- …to add value and improve Mizuho Bank's US operations including the derivatives and broker dealer businesses. Based in the New York Metro area, IADA staff ... innovation, project management and talent development. DescriptionUnder the direction of the Vice President , execute a robust audit program including leading the… more
- Morgan Stanley (Purchase, NY)
- …Legal and Compliance Division is seeking to hire an Executive Director or Vice President (commensurate with experience) to provide legal coverage for its ... in-house experience, preferably with a financial services firm (including a bank, broker - dealer or private equity fund). * Experience with capital markets and… more
- Morgan Stanley (Baltimore, MD)
- …be the right team for you. Your Key Responsibilities: As an experienced Investigations Director/ Vice President in GFC, you will: * Lead investigations of a wide ... requirements * Strong understanding of the financial markets and banking, including broker - dealer product-based knowledge and the ability to learn concepts… more