- S&P Global (New York, NY)
- …Level (for internal use):** 14 Position Summary: Reporting to the Chief Revenue Officer, the National Vice President , Dealer Relations plays an integral ... to drive dealer engagement, utilization, and growth with Mastermind. The National Vice President , Dealer Relations will join our rapidly growing… more
- SMBC (New York, NY)
- …Underwriting, Risk Management, Compliance, IT Risk and Training committees. The Compliance Advisory Vice President role assists in managing a coverage area or ... Inc. serves as a regulatory advisory function to the President and is responsible for overseeing the management of...is responsible for overseeing the management of the broker dealer 's compliance risk and is represented by the Chief… 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 funding, ... oversight requirements within the Treasury organization. **Team Description:** The Global Broker- Dealer Legal Entity Treasury team reports to the Global Broker-… more
- SMBC (Jersey City, NJ)
- …SMBC's Compliance Department Americas Division is seeking a VP of Swap Dealer Compliance Monitoring & Testing (M&T). The VP is responsible for execution ... monitoring and testing reviews. This role will have coverage for SMBC's Swap Dealer operations. The candidate should have functional knowledge of applicable US laws… 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 * JD required...and between $140,000 - $250,000 per year for a Vice President at the commencement of employment.… more
- Morgan Stanley (New York, NY)
- Vice President - Enterprise Risk Management Policy & Strategy Firm Risk Management Firm Risk Management (FRM) supports Morgan Stanley to achieve its business ... US Banks Enterprise Risk Management (ERM) Team. The ERM Vice President role is focused on enhancing...Framework, regulatory management and oversight, as well as managing Swap- Dealer reporting, and assisting in governance reporting. The role… more
- TD Bank (New York, NY)
- …groups as appropriate. + Prepare and recommend high quality credit submissions. The Vice President CIB Credit, TD Securities is primarily accountable for ... operation, while being part of a major global investment dealer . Confidence in our US operations systems stems from...banking skills necessary to be successful in the industry. Vice Presidents - CIB Credit lead corporate and leveraged… more
- TD Bank (New York, NY)
- …**Education:** + University degree or equivalent + CFA or FRM designation an asset The Vice President , Change Delivery - TDS is aligned with the TDS Delivery ... This function enables efficient and effective program delivery of the dealer 's major, cross functional initiatives. TDS Change Delivery reflects a significant… more
- Morgan Stanley (New York, NY)
- …**Title:** *Portfolio Strategy Consultant - Global Sales & Marketing - Vice President * **Location:** *New York-New York* **Requisition ID:** *3258109* ... client relationships preferred. - Established relationships with decision makers at national broker/ dealer and distribution platform. - Successful track record… 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
- SMBC (Jersey City, NJ)
- …portfolio of benefits to its employees. **Role Description** The Regulatory Reporting Governance Vice President ) role is critical in ensuring the compliance with ... of BHC (eg FRY 9C and FFIEC009/009a reports), FRY 15 and broker dealer regulatory reporting requirements and report preparation + Experience with Risk and Control… 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 ... Operations, Procurement, Third-Party Risk, Human Resources, Capital Markets, Nikko (broker dealer ), and Corporate Services. In particular: + Serving as a strategic… 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 specific ... Retail Non-Deposit Investment Products (RNDIP) program for the consumer bank/broker- dealer to facilitate a consistent and cohesive approach **Required… more
- MUFG (New York, NY)
- …with demonstrated familiarity including Sales and Trading; and familiarity with Broker - Dealer and applicable regulations, such as DFA Swap Dealer , Volcker and ... requirements of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA). The major responsibilities listed above are the… more
- MUFG (New York, NY)
- …of tasks performed by the Risk Surveillance Unit, based around Swap Dealer Reporting requirements. + Provide oversight over Market Conduct monitoring for all ... Banking industry experience or external consulting (financial services), with direct Swap Dealer Regulatory Reporting experience. + Experience managing a team a plus… more
- SMBC (Jersey City, NJ)
- …The SMBC Compliance Department monitors the corporate banking, investment banking and broker dealer activities of SMBC Group and reports on the compliance risks and ... the SMBC Employee Investment Policy, arranges for the registration of broker- dealer personnel, and conducts compliance training. In addition, the Advisory Team… more
- SMBC (New York, NY)
- …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 ... SMBC Nikko Securities America, Inc. (Nikko US) is an SEC-registered securities broker- dealer and member of the Financial Industry Regulatory Authority (FINRA) and… 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 on a ... the monthly FOCUS reports for each and ensuring that the primary broker dealer , Citigroup Global Markets Inc. is compliant with the customer protection rule. The… more
- MUFG (New York, NY)
- …of effective tax strategies. Incumbents will possess a thorough knowledge of national and international tax and accounting laws and will be required to ... this level has some understanding of the firm's different businesses (bank, broker- dealer and leasing) and the related economics. + Oversee tax provisioning,… more
- SMBC (Jersey City, NJ)
- …and Skills** + Strong knowledge of CUSO, BHC/IHC, Branch, Broker Dealer regulatory reporting requirements and report preparation + Experience with rolling ... consideration for employment without regard to race, color, religion, gender, national origin, disability status, protected veteran status or any other… more