- 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
- 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
- JPMorgan Chase (Jersey City, NJ)
- …striving to be best-in-class. As a Compliance, Conduct and Operational Risk (CCOR) Vice President within our global/regional Compliance teams, you will form ... assignment. **Job responsibilities** + Perform on-site compliance examinations of broker- dealer and investment advisory business to determine adherence to JPMorgan… 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
- Morgan Stanley (New York, NY)
- …diversifying its workforce (M/F/Disability/Vet). **Job:** **Wealth Management* **Title:** * Vice President International Lending Specialist (ILS)* **Location:** ... origination or credit underwriting experience in a Private Banking or Broker- Dealer platform required. Formal credit training preferred. *Working knowledge of credit… 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 ... organization with demonstrated financial services experience. + Experience in broker- dealer matters, including knowledge of federal and state securities laws… 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
- 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)
- …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
- 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
- SMBC (Jersey City, NJ)
- …expert in the Regulatory Reporting Automation for BHC, Branch, Liquidity or Broker Dealer regulatory reports. This position will provide leadership to the team by ... consideration for employment without regard to race, color, religion, gender, national origin, disability status, protected veteran status or any other… more
- SMBC (Jersey City, NJ)
- …RWA and Capital ratios Calculation for group company who is registered as a swap dealer with CFTC + Support analysis of Basel RWA Reporting based on US Regulatory ... consideration for employment without regard to race, color, religion, gender, national origin, disability status, protected veteran status or any other… more