- 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
- 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
- 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)
- …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
- 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
- SMBC (Jersey City, NJ)
- …requests. **Qualifications and Skills** + Strong knowledge of CUSO, BHC/IHC, Branch, Broker Dealer regulatory reporting requirements and report preparation + ... Experience with rolling out regulatory reporting trainings across finance departments. + Minimum of 7 - 10 years knowledge and experience in the preparation of regulatory reports of financial institutions + Strong knowledge on financial products such… 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 ... team by setting the direction, defining the accountabilities and assignments, articulating goals and objectives, and monitoring and evaluating work. This position works closely with Director of Regulatory Reporting Change Management Department to ensure proper… more
- JPMorgan Chase (New York, NY)
- …+ Build and maintain relationships with investment bankers and analysts, the broker - dealer community, rating agencies, and legal professionals, among other ... market participants. **Required qualifications, capabilities and skills** + Minimum of 3 years of experience in credit analysis. + Bachelor's degree in related field + Critical Technical Skills + Demonstrated ability to evaluate municipal issuer credit risk,… more
- SMBC (Jersey City, NJ)
- …portfolio of benefits to its employees. **Role Description** SMBC Group is seeking a Vice President for the Compliance Risk Assessment team ("CRA team") within ... and Control Assessment. As a Compliance Risk Assessment ("CRA") Vice President , this role will assist in...will encompass SMBC Group's Americas Division, inclusive of US broker dealer and registered swap dealer… more