- 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
- 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 ... and oversight requirements within the Treasury organization. **Team Description:** The Global Broker - Dealer Legal Entity Treasury team reports to the Global … more
- Morgan Stanley (New York, NY)
- …funds and connect with them potential investors. *Description* *_Associate and Vice President level positions_*within Morgan Stanley's Institutional Equity ... environment * 1-2 years experience negotiating trading agreements at broker / dealer , buy-side firm and/or law firm *...and between $140,000 - $250,000 per year for a Vice President at the commencement of employment.… 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
- 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 ... the monthly FOCUS reports for each and ensuring that the primary broker dealer , Citigroup Global Markets Inc. is compliant with the customer protection rule.… 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 Share: ... (https://jobs.natwestgroup.com/jobs/14840445-us-client-services-and-onboarding- vice - president /apply?tm\_src=0) Our people work differently depending on their jobs… 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
- 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
- MUFG (New York, NY)
- …at this level has some understanding of the firm's different businesses (bank, broker - dealer and leasing) and the related economics. + Oversee tax provisioning, ... 10+ years' experience in tax/accounting of international and domestic banks, broker -dealers and financial institutions. Bachelor's degree in accounting or related… 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
- Morgan Stanley (Purchase, NY)
- …Legal and Compliance Division is seeking to hire an Executive Director or Vice President (commensurate with experience) to provide legal coverage for its ... in-house experience, preferably with a financial services firm (including a bank, broker - dealer or private equity fund). > Experience with capital markets and… more
- Morgan Stanley (New York, NY)
- …lending and trading counterparties. Position Summary Morgan Stanley is seeking an Associate or Vice President for the Risk Capital group, based in New York. Risk ... complex institution Skills Desired > Familiarity with current and evolving US Broker Dealer , Swap Dealer and Securities-Based Swap Dealer regulations… 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