- S&P Global (New York, NY)
- …and dedicated consultative services. Position Summary: Reporting to the Chief Revenue Officer, the National Vice President , Dealer Relations plays an ... 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)
- 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
- Wells Fargo (New York, NY)
- Job Description **About this role:** Wells Fargo is seeking a Counsel - Assistant Vice President to join the Wealth & Investment Management (WIM) section of the ... Wells Fargo Legal Department. The Counsel - Assistant Vice President will provide legal advice to...and trust and estate issues. + Prior experience supporting broker- dealer on issues such as account documentation and transaction… 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
- JPMorgan Chase (New York, NY)
- …the tax-exempt and taxable capital markets. As a Public Finance Attorney - Vice President , Assistant General Counsel within JPMorgan's legal department, you will ... private placements and direct purchases, such as bond purchase agreements, dealer manager agreements and private placement engagement letters. + Provide guidance… more
- JPMorgan Chase (New York, NY)
- …for our flexible shared services team within Banking Operations. **Job summary** As a Vice President in the Cash Asset Management Central Bank Lead in Payments ... global incidents + Support team on any other Ops requirements such as Broker Dealer and Cash Projections + Work with Service lead and Central Bank Cash zonal… 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
- TD Bank (New York, NY)
- …in a highly focused operation, while being part of a major global investment dealer . Confidence in our US operations systems stems from the recognition of our ... leveraged finance banking skills necessary to be successful in the industry. Vice Presidents lead corporate and leveraged banking transactions and work closely with… more
- TD Bank (New York, NY)
- …Firm policy and regulatory requirements. TD has been growing its US Broker Dealer activities over the last few years both organically and through acquisitions (eg, ... findings and open gaps. + Contribute metrics to Conduct Risk Committees and Vice Chair supervision meetings, as well as Co-Head directs supervisory meetings. +… 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)
- …technical regulatory issues involving our New York Branch, Bank Holding Company, broker/ dealer and other affiliates. This is a hybrid role, with current expectation ... technical knowledge of regulatory rules for our banks, bank holding and/or broker/ dealer , as well as knowledge to challenge data populated in various regulatory… 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
- 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
- ManpowerGroup (New York, NY)
- …the Monitoring and Testing program, and will have coverage over the banks Swap Dealer Operations. **Job Title: Vice President , Compliance Monitoring & ... Our top banking client is seeking a Vice President of Compliance Monitoring &...and regulations. **What's Needed?** + 7+ years of swap dealer experience + Compliance Testing, NFA, or Internal Audit… more
- TD Bank (New York, NY)
- …required. + 7 or more years of experience in, with a registered US broker dealer or regulator, Compliance testing a plus. + JD desirable but not required + Strong ... without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran. Federal law… more
- TD Bank (New York, NY)
- …TDS Treasury is part of Global Markets in TD Securities, and manages the dealer 's liquidity, funding and non-trading market risk. Within the group, US TDS Treasury ... without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran. Federal law… more