- SMBC (Jersey City, NJ)
- …testing of its broker / dealer (SMBC Nikko Securities America, INC). The Vice President is responsible for execution of the monitoring and testing program. ... Description** SMBC's Compliance Department Americas Division is seeking a Vice President of the Compliance Monitoring and...The candidate should have functional knowledge of applicable US broker dealer laws and regulations with specific… 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
- 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
- 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 ... + In-depth knowledge of pre-trade client onboarding processes related to US broker -dealers, swap dealer and capital markets businesses with experience across… 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
- Citigroup (New York, NY)
- …role preferably within a wealth management organization such as a Private Bank or Broker Dealer + Specific experience in Fixed Income Bonds, both primary and ... accordance with the business product programs, processes and procedures. + Engage the dealer community to source liquidity + Assist with a trading book and generate… 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
- TD Bank (New York, NY)
- …partners and groups. + 6 or more years of experience with a registered US broker dealer or regulator. + Knowledge of wholesale banking products and services, ... operations, regulatory frameworks (eg, applicable rules and regulations), and the ability to learn new areas while supporting them. + Excellent interpersonal, organizational, and communication (oral and written) skills. + Client service skills - the candidate… more
- TD Bank (New York, NY)
- …partners and groups. + 6 or more years of experience with a registered US broker dealer or regulator. + Knowledge of wholesale banking products and services, ... operations, regulatory frameworks (eg, applicable rules and regulations), and the ability to learn new areas while supporting them. + Excellent interpersonal, organizational, and communication (oral and written) skills. + Client service skills - the candidate… more
- JPMorgan Chase (Jersey City, NJ)
- …requirements (eg, 12 CFR 9) related to asset management, investment advisor, broker - dealer and fiduciary activities. + Knowledge of various financial ... instruments, investment vehicles and capabilities, including alternative investments such as real assets, private equity, private credits, etc. + Experience with using data analytics and large language model, as well as champion a culture of innovation +… more
- JPMorgan Chase (Jersey City, NJ)
- …manner + Knowledge of applicable laws and regulatory requirements related to broker / dealer and fiduciary activities + Strong interpersonal and influencing ... skills, with the ability to establish credibility and build partnerships with senior business and control partners; adept at presenting complex and sensitive issues to senior management **Preferred qualifications, capabilities and skills** + CPA, CIA, and/or… 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
- SMBC (New York, NY)
- …all end-to-end efforts across the organization. The Operations Strategy & Transformation Vice President will engage with stakeholders across multiple business ... completeness and sustainability. The position will primarily interface with Bank and Broker Dealer Operations with the incumbent acting as a key contributor in… more
- Mizuho Corporate Bank (New York, NY)
- …designed to add value and improve Mizuho Bank's US operations including derivative activities, broker dealer and swap dealer businesses. Based in the New ... Summary Internal Audit seeks a candidate to fill an Assistant Vice President role for the Compliance area. The candidate should demonstrate professionalism… more
- SMBC (New York, NY)
- …Risk Management Department Americas Division (RMDAD) has an opening for an Associate/ Vice President in the Liquidity Risk Management Group. This position ... coverage of business lines includes traditional banking (including digital bank), swap dealer and broker dealer . Product coverage includes but is not limited… more
- SMBC (Jersey City, NJ)
- …financial institutions. Based in New York City, we are an SEC registered Broker dealer that provides financial products and services to global institutional ... Operations Group within SMBC Nikko Securities America, Inc. is seeking a Vice President level candidate to provide operational support to the foreign and… more