- 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
- Hold Brothers (New York, NY)
- About the Job: Hold Brothers Capital, LLC, a leading self-clearing proprietary broker - dealer , is seeking an EVP of Finance & Operations to oversee the ... to reconcile data + Preparing financials and books and records for the Broker - Dealer according to GAAP and ensuring all regulatory reporting requirements are met… more
- HSBC (New York, NY)
- …geographic area/country to global for a Function or Global Business Line. As our Vice President Risk and Compliance Assuranceyou will: + Utilize SME knowledge in ... significant regulatory compliance requirements applicable to the businesses + Swap Dealer and Broker Dealer compliance control testing experience + Strong… 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
- JPMorgan Chase (New York, NY)
- …insight. As a Wealth Management Financial Products and Regulatory Attorney - Vice President , Assistant General Counsel within our Wealth Management Legal ... self-regulatory organization with demonstrated financial services experience. + Experience in broker - dealer matters, including knowledge of federal and state… 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… 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 (New York, NY)
- …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
- TD Bank (New York, NY)
- …accordance with Firm policy and regulatory requirements. TD has been growing its US Broker Dealer activities over the last few years both organically and through ... findings and open gaps. + Contribute metrics to Conduct Risk Committees and Vice Chair supervision meetings, as well as Co-Head directs supervisory meetings. +… more
- TD Bank (New York, NY)
- …similar degree, 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 Knowledge of operations, finance, regulatory reporting, sales and trading, and applicable rules and regulations, and the ability to learn new areas while supporting them. + Knowledge of US laws, rules and regulations pertaining to Swap… more
- SMBC (New York, NY)
- …Rates & Credit for both cash and derivatives * Solid knowledge of broker - dealer /investment banking environment, sales & trade flows and eTrading domain ... experience * Understanding of market data, market making, and pre-trade concepts * Analytical skills to troubleshoot a variety of symptoms, diagnose problems, and test, recommend and implement solutions to technology problems * Forward thinker who seeks to… 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
- JPMorgan Chase (New York, NY)
- …welcome. + Prior experience in private markets preferred. + Experience in retail, broker / dealer , mutual fund industry preferable. JPMorgan Chase & Co., one of ... the oldest financial institutions, offers innovative financial solutions to millions of consumers, small businesses and many of the world's most prominent corporate, institutional and government clients under the JP Morgan and Chase brands. Our history spans… more
- MUFG (New York, NY)
- …remotely one day. A member of our recruitment team will provide more details. The Vice President in the Middle Office will be responsible for supporting the ... gathering and documentation submission required by the regulatory bodies for the broker - dealer 's onboarding process + Assist with system configuration, setup,… 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