- 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 (Columbus, OH)
- …to lead the charge in safeguarding our clients and firm from fraud? As a Vice President in Asset Wealth Management Fraud Management, you'll have the opportunity ... critical thinking and problem-solving skills will shine. As a Vice President in Asset Wealth Management Fraud...and develop actionable recommendations. + Specific knowledge of core broker - dealer systems, operation of common broker… more
- Arena Investors LP (Jacksonville, FL)
- …with the Investment Advisers Act of 1940; . Support the CCO with FINRA broker - dealer requirements; . Monitoring of Client guidelines and restrictions; . Review ... policies and procedures; . Administration of firm (Investment Adviser and Broker - Dealer ) annual compliance review (testing and monitoring); . Conflicts… 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 ... organization with demonstrated insurance experience. + Experience in insurance and broker - dealer matters, including knowledge of state insurance laws and… 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
- 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 (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 ... in the development of reviews of potential sales practice issues, including broker - dealer documents, trading, and financial information. + Present findings… 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
- 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 ... + In-depth knowledge of pre-trade client onboarding processes related to US broker -dealers, swap dealer and capital markets businesses with experience across… 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 (Columbus, OH)
- …leadership to effectively serve financial advisors. + Operate within the Independent Broker Dealer (IBD) channel, focusing on Edward Jones Financial Advisors ... in Indiana, Michigan and Ohio. + Provide field sales coverage and support to clients, with a focus on growing relationships with newer Edward Jones financial advisors. + Consult and position mutual funds , ETFs and Separately Managed Accounts and the full… more
- JPMorgan Chase (Salt Lake City, UT)
- …the Utah, Northern Nevada, Idaho, Montana, and Wyoming regions within the Independent Broker Dealer (IBD) channel. Your role will involve promoting and expanding ... JPMorgan's market share across mutual funds, ETFs, separately managed accounts, model portfolios, direct indexing, and retirement platforms. This will require deepening client relationships through consultative engagement and increasing assets under… 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 available through Chase Insurance Agency, Inc. (CIA), a licensed insurance agency, doing business as Chase Insurance Agency Services, Inc. in Florida. JPMS, CIA and JPMorgan Chase Bank, NA are affiliated companies under the common control of JPMorgan… more
- Kestra Financial (Novi, MI)
- …potentially complex processes and/or concepts to clients + Successfully partner with Broker Dealer for new account establishment, account maintenance, and ... compliance. + Maintain Redtail CRM database; Manage Client and Prospective Client Work Flow and coordinate follow-up with Advisors + Maintain a compliant filing and scanning system with Laser Fiche + Answer incoming calls and direct/take messages appropriately… 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 available through Chase Insurance Agency, Inc. (CIA), a licensed insurance agency, doing business as Chase Insurance Agency Services, Inc. in Florida. JPMS, CIA and JPMorgan Chase Bank, NA are affiliated companies under the common control of JPMorgan… more
- MUFG (Tempe, AZ)
- …financial services industry; previous working experience within Capital Markets, Asset Management, Broker Dealer , Finance, Treasury and or risk management + ... Strong knowledge of Operational Risk Management Programs and frameworks including (but not limited to): RCSA, Loss data, Products and Services, Scenario Analysis, KRM/KRI and Issue Management). + Significant experience managing complex and dynamic Third-Party… 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
- 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