- Unknown (New York, NY)
- Associate Vice President , Treasury and Broker Dealer About the Company Prominent financial services company Industry Financial Services Type Privately ... Held About the Role The Company is seeking an Associate Vice President for Treasury and Broker Dealer to take on a pivotal role in overseeing and… more
- Unknown (Houston, TX)
- Executive Vice President , Finance and Operations About the Company Prominent financial services company specializing in investment management, research & trading ... Type Privately Held About the Role The Company is in search of a strategic Executive Vice President (EVP) of Finance and Operations to take on a pivotal role in… more
- Unknown (Virginia Beach, VA)
- Divisional Vice President of Annuity Wholesaling About the Company Respected investment management company providing retirement & insurance solutions Industry ... About the Role The Company is seeking a Divisional Vice President for Annuity Wholesaling. The successful...will be responsible for selling annuity products through a broker / dealer or other assigned distribution network. This… more
- Unknown (Jersey City, NJ)
- Vice President , Senior Compliance Officer About the Company Recognized banking organization with an international presence Industry Banking Type Privately Held, ... of 5-10 years of investment banking experience, with a strong background in broker - dealer , swap dealer , or related legal and regulatory experience. A working… more
- Unknown (Denver, CO)
- Vice President , Business Development About the Company Premier broker / dealer & investment advisor Industry Financial Services Type Privately Held About ... the Role The Company is seeking a Vice President , Business Development to take on...the financial services industry, with a focus on the broker / dealer or RIA environment. The role requires… more
- Unknown (Lake Mary, FL)
- Senior Vice President , Counsel About the Company Internationally recognized investment services firm Industry Financial Services Type Public Company Founded 1784 ... on innovation and technology. They are seeking a Senior Vice President , Counsel to join their team....with a focus on contracts and investment advisory and/or broker - dealer issues. The ideal candidate will have… more
- Unknown (Indianapolis, IN)
- Vice President , Regional Branch Management About the Company Profitable broker & financial advisory firm Industry Financial Services Type Public Company ... financial services Business Classifications B2B About the Role The Company is seeking a Vice President , Regional Branch Manager to take on a key leadership role… more
- Unknown (Austin, TX)
- Vice President , Principal Operations Officer, Wealth Custody & Clearing About the Company Expanding provider of investment management, research & trading ... Company is in search of a Principal Operations Officer for its introducing broker - dealer . The successful candidate will be a seasoned leader in operations and… more
- Unknown (San Diego, CA)
- Vice President , Advanced Tax Strategy & Innovation About the Company Profitable broker & financial advisory firm Industry Financial Services Type Public ... financial services Business Classifications B2B About the Role The Company is seeking a Vice President for Advanced Tax Strategy and Innovation to join their… more
- Unknown (Los Angeles, CA)
- Senior Vice President - Corporate Finance About the Company Successful investment bank Industry Accounting Type Privately Held About the Role The Senior Vice ... ideally as a generalist relationship manager in an investment banking or broker - dealer context. Active industry licenses (such as Series 63, SIE and Series… more
- Unknown (Tampa, FL)
- Vice President , Third-Party Risk Management About the Company Expanding financial group Industry Financial Services Type Public Company Founded 2001 Employees ... banking About the Role The Company is seeking a Vice President for Third-Party Risk Management. The...particularly in areas such as capital markets, asset management, broker - dealer , finance, treasury, and risk management, is… more
- Unknown (New York, NY)
- Associate Vice President , Financial Control About the Company Flourishing banking organization Industry Banking Type Privately Held About the Role The Company is ... seeking an Associate Vice President for Financial Control with a...audit or corporate accounting, preferably from a bank or broker - dealer environment. A CPA or Parts Passed… more
- Unknown (New York, NY)
- Senior Vice President , Registered Funds Compliance About the Company Top-tier provider of investment management, research & trading services Industry Financial ... Role The Company is in search of a Senior Vice President for Registered Funds Compliance. This...10 years' of experience in compliance, particularly in both broker - dealer and registered investment adviser environments, is… more
- Unknown (Manhattan, NY)
- Vice President of Compliance and Regulatory Exams About the Company Well-established broker dealer Industry Insurance Type Privately Held About the Role ... The Company is seeking a VP Compliance with a focus on Regulatory Exams to join their team. The successful candidate will be responsible for managing regulatory examinations across various business functions, including operations, finance, regulatory… more
- Unknown (Chicago, IL)
- Vice President , Regional Director of Wealth Management Sales About the Company Leading international alternative asset organization offering comprehensive ... and building upon existing ones, particularly within the Independent and Regional Broker Dealer channel. The Regional Director will be part of a three-person… more
- Unknown (New York, NY)
- Vice President of Finance & Accounting About the Company Dynamic full-service investment firm specializing in sales & trading, research, & asset management ... corporate finance, advanced accounting, and regulatory issues, with experience in a broker - dealer environment and FINOP experience preferred. The role demands a… more
- AIG (New York, NY)
- At AIG, we are reimagining the way we help customers to manage risk. Join us as a Vice President , Broker Dealer Claims to play your part in that ... of the role including value proposition. + Manage a claims team handling broker dealer claims, including direct handling of claims as needed. + Train and develop… more
- Athene (West Des Moines, IA)
- …impact the business unit or the department. + Is a key partner with the Divisional Vice President , Broker Dealer Channel in ensuring internal and ... + Works with Vice President , Internal Sales and Divisional Vice President , Broker Dealer channel to develop strategy around channel growth.… 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
- MUFG (New York, NY)
- …our recruitment team will provide more details. **Main Responsibilities:** The US and Canada Broker Dealer Treasury team is part of the HoldCo Treasury, Capital ... directly to the Treasurer, the AVP will have involvement in all broker dealer treasury functions including funding and liquidity risk management, asset liability… more
