- SMBC (Jersey City, NJ)
- …testing of its broker / dealer (SMBC Nikko Securities America, INC). The Vice President is responsible for execution of the monitoring and testing program. ... Description** SMBC's Compliance Department Americas Division is seeking a Vice President of the Compliance Monitoring and...The candidate should have functional knowledge of applicable US broker dealer laws and regulations with specific… more
- SMBC (New York, NY)
- …Funds while also providing coverage for other non-bank financial institutions. The role, Vice President level, reports to the Head of Credit Services within ... and our clients. The individual will support activities within our swap dealer and broker dealer businesses including derivatives, FX, repo and securities… 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,… 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
- 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
- JPMorgan Chase (Jersey City, NJ)
- …requirements (eg, 12 CFR 9) related to asset management, investment advisor, broker - dealer and fiduciary activities. + Knowledge of various financial ... instruments, investment vehicles and capabilities, including alternative investments such as real assets, private equity, private credits, etc. + Experience with using data analytics and large language model, as well as champion a culture of innovation +… more
- JPMorgan Chase (Jersey City, NJ)
- …manner + Knowledge of applicable laws and regulatory requirements related to broker / dealer and fiduciary activities + Strong interpersonal and influencing ... skills, with the ability to establish credibility and build partnerships with senior business and control partners; adept at presenting complex and sensitive issues to senior management **Preferred qualifications, capabilities and skills** + CPA, CIA, and/or… more
- TD Bank (New York, NY)
- …partners and groups. + 6 or more years of experience with a registered US broker dealer or regulator. + Knowledge of wholesale banking products and services, ... operations, regulatory frameworks (eg, applicable rules and regulations), and the ability to learn new areas while supporting them. + Excellent interpersonal, organizational, and communication (oral and written) skills. + Client service skills - the candidate… more
- TD Bank (New York, NY)
- …partners and groups. + 6 or more years of experience with a registered US broker dealer or regulator. + Knowledge of wholesale banking products and services, ... operations, regulatory frameworks (eg, applicable rules and regulations), and the ability to learn new areas while supporting them. + Excellent interpersonal, organizational, and communication (oral and written) skills. + Client service skills - the candidate… 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
- 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… more
- SMBC (New York, NY)
- …all end-to-end efforts across the organization. The Operations Strategy & Transformation Vice President will engage with stakeholders across multiple business ... completeness and sustainability. The position will primarily interface with Bank and Broker Dealer Operations with the incumbent acting as a key contributor in… more
- Mizuho Corporate Bank (New York, NY)
- …designed to add value and improve Mizuho Bank's US operations including derivative activities, broker dealer and swap dealer businesses. Based in the New ... composes the overseas arm of MHBK's Internal Audit Division (IAD). Summary Vice President supporting IADA by maintaining a robust Quality Assurance (QA) program… more