- NatWest Group (Stamford, CT)
- …data functions / flow. Direct understanding of US regulatory requirements specific to Broker Dealer Operations. Individual must be self-motivated who is willing ... to attend training classes and do outside reading to expand knowledge and close any knowledge gaps. Proven understanding of general accounting principles. Individual must be comfortable speaking with auditors. Must be able to communicate with senior… more
- BNP Paribas (Jersey City, NJ)
- …structures, including hedge funds, personal investment vehicles, investment managers, broker -dealers, as well as corporate client structures Knowledge of global ... management experience a plus FINRA Registrations Required Not Applicable CFTC Swap Dealer Associated Person (if yes, NFA Swaps Proficiency Program is required) Not… more
- Wells Fargo (West Des Moines, IA)
- **About this role:** Wells Fargo is seeking a Vice President , Audit Manager on the Financial Crimes Audit Team. The Financial Crimes Audit Team provides ... + Experience assessing risks/controls related to Wealth & investment Management and/or Broker Dealer processes. **Job Expectations:** + Ability to travel up… more
- JPMorgan Chase (Columbus, OH)
- As a Wealth Management Financial Products and Regulatory Attorney - Vice President , Assistant General Counsel within our Wealth Management Legal team, you will ... organization with demonstrated financial services experience. + Experience in broker - dealer and investment advisory matters, including knowledge of… more
- JPMorgan Chase (New York, NY)
- …individual to join its Equities Practice Group within the Corporate & Investment Bank as a Broker - Dealer & Cash Equities Attorney. As a Broker - Dealer & ... Cash Equities Attorney within the Broker - Dealer & Cash Equities Legal group , you will...You will report directly to the Head of the Broker - Dealer & Cash Equities Legal group. The… more
- Robert Half Legal (San Diego, CA)
- …enterprise-wide adherence to securities regulations. TO APPLY, ONLY send resume directly to Vice President of Direct Hire, Samantha Graham at Samantha [dot] ... Description Financial Services Company Seeks Senior Attorney Focused on Broker - Dealer Compliance & FINRA Arbitrations About Firm...regulatory proceedings TO APPLY, ONLY send resume directly to Vice President of Direct Hire, Samantha Graham… more
- JPMorgan Chase (New York, NY)
- …one of the fastest growing ETF issuers. **Job summary:** As an ETF Capital Markets Vice President on the Asset Management ETF Capital Markets team you would be ... operations of the business and delivering key outcomes across the broker dealer and client segments. You will help oversee strategic relationships with… more
- HSBC (New York, NY)
- …our people, our investors, our communities and the planet we all share. The Vice President , US Liquidity Management sits within the Americas Treasury Liquidity ... risk drivers for the bank as well as the broker dealer entity. The role holder also...drivers and movements in the liquidity position. As our Vice President , US Liquidity Management you will:… 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
- Siebert Williams Shank (New York, NY)
- …or the "Firm") is conducting a search for experienced Investment Banking candidates for Vice President to join its Infrastructure and Public team and work hybrid ... platform, and a sound regulatory capital base. We are a SEC-registered securities broker - dealer and member of the Financial Industry Regulatory Authority (FINRA)… 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
- Santander US (Dallas, TX)
- CIB Pre & Post Trade Exchange Traded Derivatives & Clearing Operations, Vice President - Dallas/Miami Country: United States of America **Your Journey Starts ... all regulatory aspects governing the ETD's and Clearing activities in a US Broker Dealer . + Proven track record of managing providers of outsourced services +… more
- Mizuho Corporate Bank (New York, NY)
- …position requires wide breadth of expertise in various regulatory reporting , especially for broker dealer regulatory reports , as well as experience in managing ... risk RWA and Market Risk RWA, and some r eport s required for broker dealer : NFA Form, Margin Report, 17CFR 23.105k and Quarterly Risk Exposure Report . The… more
- NatWest Markets (Stamford, CT)
- US Operations Oversight & Advisory, Vice President LocationStamford,United States Job typePermanent Contract typeFull Time \#R-00252575 Our people work ... / 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 (Los Angeles, CA)
- …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
- BlackRock (San Francisco, CA)
- …exceed sales targets. The teams will be primarily focused on advisors in the Core Broker / Dealer segment but may grow to other segments as team evolves. + Serve ... with key distributors of our investment products, such as broker -dealers, banks, registered investment advisers, financial planners, insurance companies and… more
- BlackRock (Seattle, WA)
- …for driving sales through multiple channels, this role specifically through Independent Broker - Dealer firms and RIA's. The Market Leader will deliver expertise ... fund or ETF wholesaler (hybrid / external), preferably with Wirehouse Broker -Dealers + Strong financial services background with knowledge of investment trends… more
- TD Bank (New York, NY)
- …**Preferred Qualifications:** + 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
- JPMorgan Chase (Chicago, IL)
- …+ ETF experience and in-house legal experience. + Experience advising on broker - dealer issues. + Expertise in complex transactions and index management. ... + Strong motivator and self-starter. + Demonstrated ability to innovate and think strategically. + Experience in building and maintaining client relationships. All candidates for roles in the Legal department must be licensed to practice law in the country of… 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 participants. **Required qualifications, capabilities and skills** + Minumum 5 years of experience in credit analysis. + Bachelor's degree in related field + Critical Technical Skills + Demonstrated ability to evaluate municipal issuer credit risk,… more
