- SMBC (New York, NY)
- …Funds while also providing coverage for other non-bank financial institutions. The role, Vice President level, reports to the Head of Credit Services within ... and our clients. The individual will support activities within our swap dealer and broker dealer businesses including derivatives, FX, repo and securities… more
- NatWest Markets (Stamford, CT)
- US Operations Oversight & Advisory, Vice President Stamford,United States Permanent Full Time \#R-00252575 Our people work differently depending on their jobs ... / flow. + Direct understanding of US regulatory requirements specific to Broker Dealer Operations. + Individual must be self-motivated who is willing to attend… 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)
- …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
- 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
- BMO Financial Group (New York, NY)
- …reviews, Deal reports, risk assessments and attestations. **KEY ACCOUNTABILITIES** The Vice President , Investment Banking CMS will have responsibility for ... mitigate risk and support compliant revenue generating activities. The Vice President will act as a liaison...in a Compliance or Regulatory function covering a major Broker - Dealer . + 5-7 years of relevant experience… 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 ... composes the overseas arm of MHBK's Internal Audit Division (IAD). Summary Vice President supporting IADA by maintaining a robust Quality Assurance (QA) program… more