- S&P Global (New York, NY)
- …and dedicated consultative services. Position Summary: Reporting to the Chief Revenue Officer, the National Vice President , Dealer Relations plays an ... to drive dealer engagement, utilization, and growth with Mastermind. The National Vice President , Dealer Relations will join our rapidly growing… 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...is responsible for overseeing the management of the broker dealer 's compliance risk and is represented by the Chief… more
- SMBC (Jersey City, NJ)
- …SMBC's Compliance Department Americas Division is seeking a VP of Swap Dealer Compliance Monitoring & Testing (M&T). The VP is responsible for execution ... monitoring and testing reviews. This role will have coverage for SMBC's Swap Dealer operations. The candidate should have functional knowledge of applicable US laws… more
- SMBC (Jersey City, NJ)
- …of benefits to its employees. **Role Description** SMBC Group is seeking a Vice - President for the Compliance Risk Assessment team ("CRA team") within the ... this function will encompass SMBC Group's Americas Division, inclusive of US broker dealer and registered swap dealer ; SMBC Group's wholesale and retail banking… 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 Objectives:… more
- JPMorgan Chase (New York, NY)
- …in the tax-exempt and taxable capital markets. As a Public Finance Attorney - Vice President , Assistant General Counsel, you will be joining a successful, ... private placements and direct purchases, such as bond purchase agreements, dealer manager agreements and private placement engagement letters. + Provide guidance… 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 zonal… 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 ... Operations, Procurement, Third-Party Risk, Human Resources, Capital Markets, Nikko (broker dealer ), and Corporate Services. In particular: + Serving as a strategic… more
- TD Bank (New York, NY)
- …in a highly focused operation, while being part of a major global investment dealer . Confidence in our US operations systems stems from the recognition of our ... leveraged finance banking skills necessary to be successful in the industry. Vice Presidents lead corporate and leveraged banking transactions and work closely with… more
- TD Bank (New York, NY)
- …Firm policy and regulatory requirements. TD has been growing its US Broker Dealer activities over the last few years both organically and through acquisitions (eg, ... findings and open gaps. + Contribute metrics to Conduct Risk Committees and Vice Chair supervision meetings, as well as Co-Head directs supervisory meetings. +… more
- SMBC (New York, NY)
- …The SMBC Compliance Department monitors the corporate banking, investment banking and broker dealer activities of SMBC Group and reports on the compliance risks and ... the SMBC Employee Investment Policy, arranges for the registration of broker- dealer personnel, and conducts compliance training. In addition, the Advisory Team… more
- ManpowerGroup (New York, NY)
- …the Monitoring and Testing program, and will have coverage over the banks Swap Dealer Operations. **Job Title: Vice President , Compliance Monitoring & ... Our top banking client is seeking a Vice President of Compliance Monitoring &...and regulations. **What's Needed?** + 7+ years of swap dealer experience + Compliance Testing, NFA, or Internal Audit… more
- TD Bank (New York, NY)
- …Qualifications:** + Approximately 7 years experience in Compliance with a US broker dealer or regulator + Strong Knowledge of applicable securities laws, rules, and ... 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
- JPMorgan Chase (New York, NY)
- …you will collaborate with our sales and marketing teams to develop a successful national sales strategy for our Education Savings business. You will become an expert ... help broaden reach of 529 plan solutions; collaborate and strategize with key broker- dealer firms on 529 plan goals and initiatives + Manage day-to-day relationships… more
- TD Bank (New York, NY)
- …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 ... without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran. Federal law… more
- JPMorgan Chase (New York, NY)
- …Build and maintain relationships with investment bankers and analysts, the broker- dealer community, rating agencies, and legal professionals, among other market ... the basis of any protected attribute, including race, religion, color, national origin, gender, sexual orientation, gender identity, gender expression, age, marital… more
- JPMorgan Chase (New York, NY)
- …welcome. + Prior experience in private markets preferred. + Experience in retail, broker/ dealer , mutual fund industry preferable. JPMorgan Chase & Co., one of the ... the basis of any protected attribute, including race, religion, color, national origin, gender, sexual orientation, gender identity, gender expression, age, marital… more
- Citigroup (New York, NY)
- …control, markets, operations, and support & control areas within a large bank/ dealer + Demonstrable experience of coordinating with stakeholders to drive changes and ... regard to their race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran. Citigroup Inc. and… 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 * ... consideration for employment without regard to race, color, religion, gender, national origin, disability status, protected veteran status or any other… more