- Generac Power Systems (Pewaukee, WI)
- …technology solutions company, we continue to push new boundaries. The VP Residential Dealer Sales is responsible for leading and directing the sales team to achieve ... objectives through successful planning and execution of sales strategies for the Residential Dealer Sales Channel. The VP Sales is responsible for the entire range… more
- Citigroup (New York, NY)
- The Swap Dealer Compliance Senior Vice President will serve as a key contributor on the team responsible for coordinating Citi's global Swap Dealer and ... Management (ICRM) program. The individual will serve as a senior swap dealer compliance risk officer for (ICRM) responsible for establishing internal strategies,… more
- JPMorgan Chase (Chicago, IL)
- …products and solutions to meet their generational wealth management needs. As a Vice President Sales Practice Manager within JP Morgan Wealth Management, you ... the development of reviews of potential sales practice issues, including broker- dealer documents, trading, and financial information. + Present findings (orally… more
- JPMorgan Chase (New York, NY)
- …the tax-exempt and taxable capital markets. As a Public Finance Attorney - Vice President , Assistant General Counsel within JPMorgan's legal department, you will ... private placements and direct purchases, such as bond purchase agreements, dealer manager agreements and private placement engagement letters. + Provide guidance… 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, or… more
- NatWest Markets (Stamford, CT)
- US Operations Oversight & Advisory, Vice President Stamford,United States Permanent Full Time \#R-00252575 Our people work differently depending on their jobs ... / flow. + Direct understanding of US regulatory requirements specific to Broker Dealer Operations. + Individual must be self-motivated who is willing to attend… more
- JPMorgan Chase (Columbus, OH)
- …valuable regulatory insight. As an Insurance and Wealth Management Attorney - Vice President , Assistant General Counsel within our Wealth Management Legal ... with demonstrated insurance experience. + Experience in insurance and broker- dealer matters, including knowledge of state insurance laws and regulations,… more
- NatWest Markets (Stamford, CT)
- US Client Services and Onboarding, Vice President Stamford,United States Permanent Full Time \#R-00240566 Our people work differently depending on their jobs and ... knowledge of pre-trade client onboarding processes related to US broker-dealers, swap dealer and capital markets businesses with experience across a wide range of… 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
- TD Bank (New York, NY)
- …+ 6 or more years of experience with a registered US broker dealer or regulator. + Knowledge of wholesale banking products and services, operations, regulatory ... without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran. Federal law… more
- TD Bank (New York, NY)
- …+ 6 or more years of experience with a registered US broker dealer or regulator. + Knowledge of wholesale banking products and services, operations, regulatory ... without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran. Federal law… more
- TD Bank (New York, NY)
- …TDS Treasury is part of Global Markets in TD Securities, and manages the dealer 's liquidity, funding and non-trading market risk. Within the group, US TDS Treasury ... without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran. Federal law… more
- MUFG (Tempe, AZ)
- …industry; previous working experience within Capital Markets, Asset Management, Broker Dealer , Finance, Treasury and or risk management + Strong knowledge of ... requirements of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA). The major responsibilities listed above are the… more
- Publicis Groupe (New York, NY)
- …industry, particularly as it relates to connecting disparate data sources across brand, dealer , and service offerings. + This role reports to the Chief Data and ... identity, gender expression, pregnancy, childbirth and related medical conditions, national origin, ancestry, citizenship status, age, disability, medical condition… more
- JPMorgan Chase (Jersey City, NJ)
- …(eg, 12 CFR 9) related to asset management, investment advisor, broker- dealer and fiduciary activities. + Knowledge of various financial instruments, investment ... the basis of any protected attribute, including race, religion, color, national origin, gender, sexual orientation, gender identity, gender expression, age, marital… more
- JPMorgan Chase (Jersey City, NJ)
- …+ Knowledge of applicable laws and regulatory requirements related to broker/ dealer and fiduciary activities + Strong interpersonal and influencing skills, with ... the basis of any protected attribute, including race, religion, color, national origin, gender, sexual orientation, gender identity, gender expression, age, marital… more
- JPMorgan Chase (Salt Lake City, UT)
- …Northern Nevada, Idaho, Montana, and Wyoming regions within the Independent Broker Dealer (IBD) channel. Your role will involve promoting and expanding JPMorgan's ... the basis of any protected attribute, including race, religion, color, national origin, gender, sexual orientation, gender identity, gender expression, age, marital… more
- JPMorgan Chase (Chicago, IL)
- …and services are offered through JP Morgan Securities LLC (JPMS), a registered broker- dealer and investment advisor, member of FINRA and SIPC. Annuities are made ... the basis of any protected attribute, including race, religion, color, national origin, gender, sexual orientation, gender identity, gender expression, age, marital… more
- JPMorgan Chase (Chicago, IL)
- …and services are offered through JP Morgan Securities LLC (JPMS), a registered broker- dealer and investment advisor, member of FINRA and SIPC. Annuities are made ... the basis of any protected attribute, including race, religion, color, national origin, gender, sexual orientation, gender identity, gender expression, age, marital… more
- JPMorgan Chase (Chicago, IL)
- …expertise when executing designated supervisory duties on behalf of the Broker- Dealer . Responsible for managing complex, high risk escalations from end-to-end and ... the basis of any protected attribute, including race, religion, color, national origin, gender, sexual orientation, gender identity, gender expression, age, marital… more