- 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. ... more
- SMBC (New York, NY)
- …Funds while also providing coverage for other non-bank financial institutions. The role, Vice President level, reports to the Head of Credit Services within ... more
- JPMorgan Chase (Columbus, OH)
- …to lead the charge in safeguarding our clients and firm from fraud? As a Vice President in Asset Wealth Management Fraud Management, you'll have the opportunity ... more
- Arena Investors LP (Jacksonville, FL)
- …with the Investment Advisers Act of 1940; . Support the CCO with FINRA broker - dealer requirements; . Monitoring of Client guidelines and restrictions; . Review ... more
- JPMorgan Chase (Jersey City, NJ)
- …the status quo and striving to be best-in-class. As a Surveillance Lead Vice President within the North America Information Barrier Trade Surveillance team, ... more
- NatWest Markets (Stamford, CT)
- US Operations Oversight & Advisory, Vice President Stamford,United States Permanent Full Time \#R-00252575 Our people work differently depending on their jobs ... more
- JPMorgan Chase (Chicago, IL)
- …products and solutions to meet their generational wealth management needs. As a Vice President Sales Practice Manager within JP Morgan Wealth Management, you ... 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 ... 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 ... 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 ... 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 ... more
- First Horizon Bank (Memphis, TN)
- **Description** SVP Portfolio Strategies FHN Financial is a broker - dealer that works with over 5,000 institutional customers, including one-quarter of all US ... more
- TD Bank (New York, NY)
- …**Preferred Qualifications:** + 7 or more years of experience with a registered US broker dealer , regulator, or global financial organization. + JD desirable but ... more
- JPMorgan Chase (Salt Lake City, UT)
- …the Utah, Northern Nevada, Idaho, Montana, and Wyoming regions within the Independent Broker Dealer (IBD) channel. Your role will involve promoting and expanding ... more
- JPMorgan Chase (Chicago, IL)
- …and services are offered through JP Morgan Securities LLC (JPMS), a registered broker - dealer and investment advisor, member of FINRA and SIPC. Annuities are ... 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 ... more
- JPMorgan Chase (Chicago, IL)
- …and services are offered through JP Morgan Securities LLC (JPMS), a registered broker - dealer and investment advisor, member of FINRA and SIPC. Annuities are ... more
- MUFG (Tempe, AZ)
- …financial services industry; previous working experience within Capital Markets, Asset Management, Broker Dealer , Finance, Treasury and or risk management + ... more
- TD Bank (New York, NY)
- …partners and groups. + 6 or more years of experience with a registered US broker dealer or regulator. + Knowledge of wholesale banking products and services, ... more
- TD Bank (New York, NY)
- …partners and groups. + 6 or more years of experience with a registered US broker dealer or regulator. + Knowledge of wholesale banking products and services, ... more