- 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
- JPMorgan Chase (Jersey City, NJ)
- …advice, guidance, and regulatory support to the JP Morgan Wealth Management Compliance broker - dealer (JP Morgan Securities, LLC) offering + Take the lead on ... for the Retail Non-Deposit Investment Products (RNDIP) program for the consumer bank/ broker - dealer to facilitate a consistent and cohesive approach **Required… 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
- 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
- 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… more
- SMBC (Jersey City, NJ)
- …Description** The SMBC Compliance Department monitors the corporate banking, investment banking and broker dealer activities of SMBC Group and reports on the ... administers the SMBC Employee Investment Policy, arranges for the registration of broker - dealer personnel, and conducts compliance training. In addition, the… 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
- SMBC (Jersey City, NJ)
- …requests. **Qualifications and Skills** + Strong knowledge of CUSO, BHC/IHC, Branch, Broker Dealer regulatory reporting requirements and report preparation + ... Experience with rolling out regulatory reporting trainings across finance departments. + Minimum of 7 - 10 years knowledge and experience in the preparation of regulatory reports of financial institutions + Strong knowledge on financial products such… more
- SMBC (Jersey City, NJ)
- …matter expert in the Regulatory Reporting Automation for BHC, Branch, Liquidity or Broker Dealer regulatory reports. This position will provide leadership to the ... team by setting the direction, defining the accountabilities and assignments, articulating goals and objectives, and monitoring and evaluating work. This position works closely with Director of Regulatory Reporting Change Management Department to ensure proper… 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...will encompass SMBC Group's Americas Division, inclusive of US broker dealer and registered swap dealer… 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
- 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… more