- S&P Global (New York, NY)
- …Level (for internal use):** 14 Position Summary: Reporting to the Chief Revenue Officer, the National Vice President , Dealer Relations plays an integral ... 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
- SMBC (Jersey City, NJ)
- …perform testing of its broker/ dealer (SMBC Nikko Securities America, INC). The Vice President is responsible for execution of the monitoring and testing ... its employees. **Role Description** SMBC's Compliance Department Americas Division is seeking a Vice President of the Compliance Monitoring and Testing team to… more
- JPMorgan Chase (New York, NY)
- …alternative portfolios to client needs. As an Illiquid Valuations Specialist - Vice President within Highbridge's Controllers team, you will be responsible ... and Skills** + Preferably with experience in a similar role at a broker/ dealer or asset management firm JPMorganChase, one of the oldest financial institutions,… more
- SMBC (Jersey City, NJ)
- …portfolio of benefits to its employees. **Role Description** The Regulatory Reporting Governance Vice President role is critical in ensuring the compliance with ... of BHC (eg FRY 9C and FFIEC009/009a reports), FRY 15 and broker dealer regulatory reporting requirements and report preparation + Experience with Risk and Control… more
- Broadridge Financial Solutions (Newark, NJ)
- …along the way, come join the Broadridge team. Broadridge is hiring! Were seeking a Vice President of Risk Management and Operations Controls. You will have the ... years of experience in a risk mgmt. within a financial services or broker dealer environment + Experience with regulatory agencies such as FINRA, SEC + Excellent… 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
- 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)
- …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 ... SMBC Nikko Securities America, Inc. (Nikko US) is an SEC-registered securities broker- dealer and member of the Financial Industry Regulatory Authority (FINRA) and… more
- MUFG (New York, NY)
- …of effective tax strategies. Incumbents will possess a thorough knowledge of national and international tax and accounting laws and will be required to ... this level has some understanding of the firm's different businesses (bank, broker- dealer and leasing) and the related economics. + Oversee tax provisioning,… more
- SMBC (New York, NY)
- …regulatory scrutiny + Experiences and knowledge in funding markets and broker/ dealer business; deep understanding of secured financing transactions and derivatives ... consideration for employment without regard to race, color, religion, gender, national origin, disability status, protected veteran status or any other… more
- SMBC (New York, NY)
- …Income, Equities, Futures and Credit Derivatives + Functional knowledge of Broker/ Dealer and Market Making related compliance and risk management requirements & ... 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)
- …portfolio of benefits to its employees. **Role Description** SMBC Group is seeking a Vice President for the Compliance Risk Assessment team ("CRA team") within ... and Control Assessment. As a Compliance Risk Assessment ("CRA") Vice President , this role will assist in...encompass SMBC Group's Americas Division, inclusive of US broker dealer and registered swap dealer ; SMBC Group's… more
- SMBC (Jersey City, NJ)
- …the compliance to applicable US regulatory reporting requirements. Reporting to the Vice President , Regulatory Reporting Controller, the Associate is responsible ... **Qualifications and Skills** + Knowledge of CUSO, BHC, Branch, & Broker Dealer regulatory reporting requirements and report preparation + Familiar with regulatory… more