- AON (New York, NY)
- …surplus lines, and subjectivities, loss projections, and cash flows where applicable + The senior broker is responsible for the order to bind & the accuracy ... in product innovation and creative solutions for clients + The senior broker participates in pre-strategy meeting to create renewal strategy. + Responsible… 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...and is responsible for overseeing the management of the broker dealer's compliance risk and is represented by the… 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 funding, ... oversight requirements within the Treasury organization. **Team Description:** The Global Broker -Dealer Legal Entity Treasury team reports to the Global Broker… more
- SMBC (Jersey City, NJ)
- …employees. **Role Description** SMBC Nikko Securities America, Inc, a registered broker dealer, provides investment securities and other financial services to ... of accounting and financial reporting process + Good knowledge of securities broker dealer business, financial products and regulatory reporting (SEA 15c3-1) +… more
- AON (New York, NY)
- …and anticipated future responsibilities. How this opportunity is different As an Assistant Vice President , you will work alongside our Account Executives in our ... and anticipated future responsibilities. How this opportunity is different As an Assistant Vice President , you will work alongside our Account Executives in our… more
- JPMorgan Chase (New York, NY)
- We are seeking an experienced Vice President to join our industry-leading team. As a Vice President in Global Corporate Banking, you will be responsible ... skills with a proven ability to develop and maintain relationships with senior management stakeholders (eg, C-suite, Treasurer, etc.), extensive credit and treasury… more
- HUB International (Brooklyn, NY)
- …in mergers and acquisitions. We are currently seeking an Assistant Vice President to join our Healthcare Division - Senior Care Practice. This position ... HUB International Limited ("HUB") is the 5th largest global insurance broker , providing a broad array of property, casualty, risk management, life and health,… more
- Broadridge Financial Solutions (New York, NY)
- …along the way, come join the Broadridge team. We are currently seeking a Vice President , Client Relationship Management Proxy Solutions to join our dynamic team. ... + Ability to influence internal and external stakeholders, including senior leadership. + Exceptional written and verbal communication skills, facilitating… 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 as a… 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 ... FOCUS reports for each and ensuring that the primary broker dealer, Citigroup Global Markets Inc. is compliant with...of judgement and autonomy. + Acts as SME to senior stakeholders and /or other team members. + Appropriately… more
- TD Bank (New York, NY)
- …with Firm policy and regulatory requirements. TD has been growing its US Broker Dealer activities over the last few years both organically and through acquisitions ... gaps. + Contribute metrics to Conduct Risk Committees and Vice Chair supervision meetings, as well as Co-Head directs...issues (eg 6-12 months) + Generally reports to a Senior Manager or above **Education & Experience:** + Undergraduate… more
- SMBC (Jersey City, NJ)
- …technical regulatory issues involving our New York Branch, Bank Holding Company, broker /dealer and other affiliates. This is a hybrid role, with current expectation ... of regulatory rules for our banks, bank holding and/or broker /dealer, as well as knowledge to challenge data populated...written and orally, to discuss relevant (complex) topics with senior management or key stakeholders + Good understanding of… more
- SMBC (Jersey City, NJ)
- …The SMBC Compliance Department monitors the corporate banking, investment banking and broker dealer activities of SMBC Group and reports on the compliance risks ... and issues to SMBC and the Global Compliance Senior Management. Additionally, the SMBC Compliance Department works closely with the Global Compliance Department in… more
- MUFG (New York, NY)
- …member of our recruitment team will provide more details. **Job Summary:** The Senior Auditor I role within Internal Audit is responsible for leading independent, ... audit process (eg planning, fieldwork testing, reporting, issues validation, etc.). The Senior Auditor I also establish direction for staff on more complex audit… more
- TD Bank (New York, NY)
- …degree, required. + 7 or more years of experience in, with a registered US broker dealer or regulator, Compliance testing a plus. + JD desirable but not required + ... must demonstrate the judgment and ability to closely partner with and advise senior and line managers and other stakeholders on regulatory interactions. + Strong… more
- SMBC (Jersey City, NJ)
- …expert in the Regulatory Reporting Automation for BHC, Branch, Liquidity or Broker Dealer regulatory reports. This position will provide leadership to the team ... accounting, finance, or a related field + Excellent communication and senior management relationship management skills + Strategic thinking, strong analytical &… more
- HUB International (New York, NY)
- …and delivering on new business opportunities. This role will report directly to ProEx Senior Vice President . This role requires contributing to significant ... International Limited ("HUB") is the 5th largest global insurance broker , providing a broad array of property, casualty, risk...We are seeking an experienced cyber and professional lines broker to join our ProEx team. This position will… more
- Broadridge Financial Solutions (New York, NY)
- …an experienced Senior Director, Sales. In this position you will report to the Vice President of Sales. We are looking for a high energy, driven sales ... to build, foster and maintain key strategic relationships within prospect accounts, including senior client relationships at C- levels + Ability to work within a… 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; SMBC Group's wholesale… more
- CAMBA (Brooklyn, NY)
- …areas of responsibility. IT Policy and Procedure Development and Implementation + With the Senior Vice President in the IT Department, develops and ... Officer of Facilities Management, Procurement & Information Technology Reports To: CEO/ President Location: 20 Snyder Avenue, Brooklyn, NY 11226 What Does the… more