- 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
- 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 ... knowledge of pre-trade client onboarding processes related to US broker-dealers, swap dealer and capital markets businesses with experience across a wide range of… 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
- 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
- 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
- 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
- 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 (New York, NY)
- …regulatory scrutiny + Experiences and knowledge in funding markets and broker/ dealer business; deep understanding of secured financing transactions and derivatives ... consideration for employment without regard to race, color, religion, gender, national origin, disability status, protected veteran status or any other… more
- SMBC (New York, NY)
- …Income, Equities, Futures and Credit Derivatives + Functional knowledge of Broker/ Dealer and Market Making related compliance and risk management requirements & ... consideration for employment without regard to race, color, religion, gender, national origin, disability status, protected veteran status or any other… 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