- Citigroup (New York, NY)
- The Swap Dealer Compliance Senior Vice President will serve as a key contributor on the team responsible for coordinating Citi's global Swap Dealer and ... Management (ICRM) program. The individual will serve as a senior swap dealer compliance risk officer for (ICRM) responsible for establishing internal strategies,… 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 (Jersey City, NJ)
- …the status quo and striving to be best-in-class. As a Surveillance Lead Vice President within the North America Information Barrier Trade Surveillance team, ... needs **Preferred qualifications, capabilities, and skills** + Relevant regulatory or broker- dealer experience such as a role in Compliance, Trade Surveillance, or… more
- MUFG (New York, NY)
- …with demonstrated familiarity including Sales and Trading; and familiarity with Broker - Dealer and applicable regulations, such as DFA Swap Dealer , Volcker and ... requirements of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA). The major responsibilities listed above are the… more
- TD Bank (New York, NY)
- …+ 6 or more years of experience with a registered US broker dealer or regulator. + Knowledge of wholesale banking products and services, operations, regulatory ... 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)
- …+ 6 or more years of experience with a registered US broker dealer or regulator. + Knowledge of wholesale banking products and services, operations, regulatory ... 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
- Publicis Groupe (New York, NY)
- …industry, particularly as it relates to connecting disparate data sources across brand, dealer , and service offerings. + This role reports to the Chief Data and ... identity, gender expression, pregnancy, childbirth and related medical conditions, national origin, ancestry, citizenship status, age, disability, medical condition… more
- JPMorgan Chase (Jersey City, NJ)
- …(eg, 12 CFR 9) related to asset management, investment advisor, broker- dealer and fiduciary activities. + Knowledge of various financial instruments, investment ... the basis of any protected attribute, including race, religion, color, national origin, gender, sexual orientation, gender identity, gender expression, age, marital… more
- JPMorgan Chase (Jersey City, NJ)
- …+ Knowledge of applicable laws and regulatory requirements related to broker/ dealer and fiduciary activities + Strong interpersonal and influencing skills, with ... the basis of any protected attribute, including race, religion, color, national origin, gender, sexual orientation, gender identity, gender expression, age, marital… 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 in the… more