- MUFG (New York, NY)
- …our recruitment team will provide more details. **Main Responsibilities:** The US and Canada Broker Dealer Treasury team is part of the HoldCo Treasury, Capital ... directly to the Treasurer, the AVP will have involvement in all broker dealer treasury functions including funding and liquidity risk management, asset liability… more
- Robert Half Legal (San Diego, CA)
- …enterprise-wide adherence to securities regulations. TO APPLY, ONLY send resume directly to Vice President of Direct Hire, Samantha Graham at Samantha [dot] ... Description Financial Services Company Seeks Senior Attorney Focused on Broker - Dealer Compliance & FINRA Arbitrations About Firm...regulatory proceedings TO APPLY, ONLY send resume directly to Vice President of Direct Hire, Samantha Graham… more
- JPMorgan Chase (Jersey City, NJ)
- …the box, challenging the status quo and striving to be best-in-class. As a Vice President within the Compliance, Conduct & Operational Risk (CCOR) team ... as well as regulatory or audit best practices relating to US Broker Dealer regulations, rules, and laws. CCOR provides independent oversight of the firm's… more
- JPMorgan Chase (New York, NY)
- …fosters professional growth. As a Wealth Management Attorney - Assistant General Counsel, Vice President , within our Wealth Management Legal team, you will ... provide critical guidance and support to several of the Firm's broker - dealer and investment advisory business groups for JP Morgan Wealth Management. You will… more
- Huntington National Bank (Boston, MA)
- Description Job Description Summary: Capstone Partners is seeking a Vice President on the Market Intelligence/Lead Generation team to conduct research on and ... Sponsor Coverage, Buy-Side Mandates and Corporate Partner Referrals. The Vice President is responsible for producing high-quality...background check with fingerprinting to be associated with the broker dealer . Not required to become a… more
- Siebert Williams Shank (New York, NY)
- …or the "Firm") is conducting a search for experienced Investment Banking candidates for Vice President to join its Infrastructure and Public team and work hybrid ... platform, and a sound regulatory capital base. We are a SEC-registered securities broker - dealer and member of the Financial Industry Regulatory Authority (FINRA)… more
- Wells Fargo (New York, NY)
- …This position, within the Financial Institutions group, is seeking a seasoned Investment Banking Vice President to join the team in New York. This position will ... and a creative, team-oriented approach to solving problems. The Vice President will also be responsible for...are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and… more
- Equitable (New Orleans, LA)
- Regional Vice President - Mutual Funds (External Wholesaler) - TX, OK, AR, LA & MS ( 250000HE ) **Primary Location** : UNITED STATES-LA-New Orleans **Other ... to join an organization that will help unlock your potential? The Regional Vice President - External Wholesaler will develop and manage consultative… more
- MUFG (New York, NY)
- …and other Control personnel to determine MSIIs / audit points. Assist the broker dealer entity in correctly Identifying the overall issue owner, deliverables ... updates + Assist in identifying data risks in RCSAs across the broker dealer entity (adhoc risk / controls reviews, group self-assessments, and controls testing)… more
- Wells Fargo (Iselin, NJ)
- …respect for their total relationship with Wells Fargo. Wells Fargo is seeking a Vice President to join our Product Management team. The Application Business ... disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing regulatory… more
- Wells Fargo (New York, NY)
- …. **About this role:** Wells Fargo is seeking a Lead Investment Banker, Vice President to join our growing Healthcare Investment Banking Group - ... disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing regulatory… more
- JPMorgan Chase (Los Angeles, 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
- Wells Fargo (Charlotte, NC)
- …public and private corporations. **About this role:** Wells Fargo is seeking a Vice President -Lead Commercial Real Estate Portfolio Manager- Tax Credit Portfolio ... disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing regulatory… more
- Wells Fargo (New York, NY)
- …clients. **About this role:** Wells Fargo is seeking a Lead Securities Product Owner - Vice President to join our Product team. This role will focus on ... disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing regulatory… more
- Wells Fargo (Chicago, IL)
- …**About this role:** Wells Fargo is seeking a Commercial Real Estate ("CRE") Vice President - Lead Transaction Manager to assume end-to-end accountability of ... disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing regulatory… more
- Wells Fargo (Charlotte, NC)
- …total relationship with Wells Fargo. **About this role:** Wells Fargo is seeking a Vice President , Lead Corporate Banking Relationship Manager as part of the ... disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing regulatory… more
- Wells Fargo (Boston, MA)
- …Sales & Trading. **About this role:** Wells Fargo is seeking a Lead Software Engineer Vice President level to join a team of 'data strats' in analyzing and ... disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing regulatory… more
- SMBC (Jersey City, NJ)
- …matter expert in the Regulatory Reporting Automation for BHC, Branch, Liquidity or Broker Dealer regulatory reports. This position will provide leadership to the ... not limited to reports such as the FRB reports, knowledge of broker - dealer reporting, liquidity reporting, etc.) + Experience in capital markets asset classes… more
- HUB International (Providence, RI)
- …resource and partner to thousands of financial advisors, as well as banks, broker dealers and producer groups. BSMG has strong relationships with the Nation's ... who has experience or is currently working within the Independent Dealer Channel (IBD) for this position. **Responsibilities:** + Passionate about wholesaling… more
- TD Bank (New York, NY)
- …JD desirable but not required. + 7 years of experience with a registered US broker dealer , swap dealer , Global Systematically Important Bank (GSIB), or ... associated regulator. + Firm understanding of global security and derivative products and markets including trading behaviors, market platforms, vendor technologies and operational elements. Experience in trade or communications surveillance a plus. + Firm… more