- 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 (Jersey City, NJ)
- …portfolio of benefits to its employees. **Role Description** SMBC is seeking a Vice President , Accounting Policy Specialist. The Vice President ... SMBC Americas Holdings, Inc. and its US subsidiaries (including a broker dealer , lessor entities, swap dealer , commercial bank, etc.). **Responsibilities**… more
- Arena Investors LP (Purchase, NY)
- …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
- 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
- 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 (New York, NY)
- …alternative portfolios to client needs. As an Illiquid Valuations Specialist - Vice President within Highbridge's Controllers team, you will be responsible ... and Skills** + Preferably with experience in a similar role at a broker / dealer or asset management firm JPMorganChase, one of the oldest financial institutions,… more
- JPMorgan Chase (Jersey City, NJ)
- Join the Foreign Banks and Broker Dealer Payments Sales team! As a Payments Sales Manager within the Financial Institutions Group - Foreign Banks and Broker ... Dealer segments, you will be primarily responsible for developing business from existing and new clients/prospects. You are expected to expand the relationships by building a pipeline of sales opportunities and achieving new business sales goals through… more
- SMBC (New York, NY)
- …SMBC Nikko Securities America, Inc. (Nikko US) is an SEC-registered securities broker - dealer and member of the Financial Industry Regulatory Authority (FINRA) ... in Charlotte, NC, London and Hong Kong. SMBC CM is an established derivatives dealer with a broad product portfolio focused on interest rates and foreign exchange… more
- Citigroup (New York, NY)
- …role preferably within a wealth management organization such as a Private Bank or Broker Dealer + Specific experience in Fixed Income Bonds, both primary and ... accordance with the business product programs, processes and procedures. + Engage the dealer community to source liquidity + Assist with a trading book and generate… 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
- MUFG (New York, NY)
- …at this level has some understanding of the firm's different businesses (bank, broker - dealer and leasing) and the related economics. + Oversee tax provisioning, ... 10+ years' experience in tax/accounting of international and domestic banks, broker -dealers and financial institutions. Bachelor's degree in accounting or related… 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
- 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
- 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 (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
- TD Bank (New York, NY)
- …similar degree, required. + 7 or more years of experience with a registered US broker dealer , regulator, or global financial organization. + JD desirable but not ... required + Knowledge of operations, finance, regulatory reporting, sales and trading, at a global financial institution. + Firm understanding of securities and derivatives rules and regulations, and the ability to learn new areas while supporting them. +… 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 (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
- 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