- 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
- Athene (West Des Moines, IA)
- …to help you achieve more. Purpose: The Internal Wholesaler in the Independent Broker Dealer channel will educate Financial Advisors on Athene annuity products, ... & direct phone contact. This role will partner with the Regional Vice President (RVP) in assigned region to generate sales by prospecting, profiling and… more
- Hold Brothers (New York, NY)
- About the Job: Hold Brothers Capital, LLC, a leading self-clearing proprietary broker - dealer , is seeking an EVP of Finance & Operations to oversee the ... to reconcile data + Preparing financials and books and records for the Broker - Dealer according to GAAP and ensuring all regulatory reporting requirements are met… more
- JPMorgan Chase (Apple Valley, CA)
- …alternative solutions with financial advisors from wirehouse, private bank, RIA, independent broker / dealer , and JP Morgan Chase affiliate channels. + Proactively ... contact broker - dealer firms to identify avenues for increased penetration, including but not limited, to new advisor referrals, conference/meeting opportunities,… more
- SMBC (Jersey City, NJ)
- …portfolio of benefits to its employees. **Role Description** SMBC is seeking a Vice President , Accounting Policy Specialist. The Vice President ... Branch, SMBC Americas Holdings, Inc. and its US subsidiaries (including a broker dealer , lessor entities, swap dealer , commercial bank, etc.). **Role… more
- JPMorgan Chase (Jersey City, NJ)
- …and striving to be best-in-class. As a Compliance, Conduct and Operational Risk (CCOR) Vice President , you will effectively partner with Line of Business (LOB) ... or assignment. **Job responsibilities** + Perform on-site compliance examinations of broker - dealer and investment advisory business to determine adherence to… more
- HSBC (New York, NY)
- …geographic area/country to global for a Function or Global Business Line. As our Vice President Risk and Compliance Assuranceyou will: + Utilize SME knowledge in ... significant regulatory compliance requirements applicable to the businesses + Swap Dealer and Broker Dealer compliance control testing experience + Strong… more
- NatWest Markets (Stamford, CT)
- US Client Services and Onboarding, Vice President Closing date for applications: 25/09/2024 Stamford,United States Permanent Full Time \#R-00240566 Share: ... (https://jobs.natwestgroup.com/jobs/14840445-us-client-services-and-onboarding- vice - president /apply?tm\_src=0) Our people work differently depending on their… 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
- DA Davidson Companies (Denver, CO)
- …and experienced professional to join the Finance team as a Treasury Associate Vice President (AVP), focused on risk management and treasury operations. Reporting ... risk management, treasury operations, and/or cash management, preferably within a broker - dealer or financial institution*Strong knowledge of capital markets,… more
- JPMorgan Chase (New York, NY)
- …insight. As a Wealth Management Financial Products and Regulatory Attorney - Vice President , Assistant General Counsel within our Wealth Management Legal ... self-regulatory organization with demonstrated financial services experience. + Experience in broker - dealer matters, including knowledge of federal and state… more
- JPMorgan Chase (New York, NY)
- …for our flexible shared services team within Banking Operations. **Job summary** As a Vice President in the Cash Asset Management Central Bank Lead in Payments ... global incidents + Support team on any other Ops requirements such as Broker Dealer and Cash Projections + Work with Service lead and Central Bank Cash… more
- JPMorgan Chase (Boca Raton, FL)
- …marking the initial engagement of bank-only clients with Wealth Management. As a Vice President , Private Wealth Planner within JP Morgan Wealth Management, you ... limited to, financial planning, goals-based investing, financial advisory at a broker - dealer , RIA and/or a private bank, affluent/high-net-worth solutions, and… 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 (New York, NY)
- …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
- TD Bank (New York, NY)
- …accordance with Firm policy and regulatory requirements. TD has been growing its US Broker Dealer activities over the last few years both organically and through ... findings and open gaps. + Contribute metrics to Conduct Risk Committees and Vice Chair supervision meetings, as well as Co-Head directs supervisory meetings. +… more
- Ascensus (Sacramento, CA)
- …unique advantages. + Maintain strong working relationships with DCIO, TPA and Broker - dealer firms nationally to promote our solutions to Financial Professionals. ... metrics. + Ability to discuss industry trends with all constituents (Advisors, Broker -dealers, DCIO firms, etc.). + Represent Ascensus at various industry and… more
- TD Bank (New York, NY)
- …similar 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 + Strong Knowledge of operations, finance, regulatory reporting, sales and trading, and applicable rules and regulations, and the ability to learn new areas while supporting them. + Knowledge of US laws, rules and regulations pertaining to Swap… more
- SMBC (New York, NY)
- …Rates & Credit for both cash and derivatives * Solid knowledge of broker - dealer /investment banking environment, sales & trade flows and eTrading domain ... experience * Understanding of market data, market making, and pre-trade concepts * Analytical skills to troubleshoot a variety of symptoms, diagnose problems, and test, recommend and implement solutions to technology problems * Forward thinker who seeks to… more
- BlackRock (Sausalito, CA)
- …financial services compliance with an asset management firm, investment adviser and/or broker - dealer . + Ability to identify Compliance risks and propose ... mitigation solutions. + Ability to work as part of a team and independently in a fast-paced environment with competing priorities. + Knowledge of the Investment Advisors Act of 1940 is required, + Working knowledge of the Investment Company Act of 1940, the… more