- 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
- 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
- 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 (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
- Equitable (TX)
- Regional Vice President - Mutual Funds (External Wholesaler) - TX, OK, AR, LA & MS ( 250000HE ) **Primary Location** : UNITED STATES-TX **Other Locations** : ... to join an organization that will help unlock your potential? The Regional Vice President - External Wholesaler will develop and manage consultative… 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 (Miami, FL)
- I-Banking Pre & Post Trade Exchange Traded Derivatives & Clearing Operations, Vice President Country: United States of America **Your Journey Starts Here:** ... 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
- 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
- Citigroup (Jersey City, NJ)
- …employee trading, outside activities surveillance, and information barrier controls/surveillance. This Vice President (VP) role sits within the Control Room ... rules and regulations + Demonstrated knowledge in area of focus including, Broker Dealer Information Barriers, Corporate and Investment Banking, Capital Markets,… more
- TD Bank (New York, NY)
- …experience **Preferred Qualifications:** + 5-7 years of experience with a registered US broker dealer , swap dealer , Global Systematically Important Bank ... (GSIB), or associated regulator. + Firm understanding of global security and derivative products and markets including trading behaviors, market platforms, vendor technologies and operational elements. Experience in trade or communications surveillance a plus.… 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
- HUB International (Providence, RI)
- …resource and partner to thousands of financial advisors, as well as banks, broker dealers and producer groups. BSMG has strong relationships with the Nation's ... who has experience or is currently working within the Independent Dealer Channel (IBD) for this position. **Responsibilities:** + Passionate about wholesaling… more
- Citigroup (New York, NY)
- …+ Knowledge of and experience covering the financial intermediary (bank, broker - dealer , clearinghouse, etc.) client base, preferably within an Investor ... and aggressive growth of complex client relationships, particularly with banks, broker -dealers, and other financial intermediaries + Deeply understand and articulate… 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
- Kestra Financial (Novi, MI)
- …potentially complex processes and/or concepts to clients + Successfully partner with Broker Dealer for new account establishment, account maintenance, and ... compliance. + Maintain Redtail CRM database; Manage Client and Prospective Client Work Flow and coordinate follow-up with Advisors + Maintain a compliant filing and scanning system with Laser Fiche + Answer incoming calls and direct/take messages appropriately… more
- MUFG (Tampa, FL)
- …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
- JPMorgan Chase (Jersey City, NJ)
- …requirements (eg, 12 CFR 9) related to asset management, investment advisor, broker - dealer and fiduciary activities. + Knowledge of various financial ... instruments, investment vehicles and capabilities, including alternative investments such as real assets, private equity, private credits, etc. + Experience with using data analytics and large language model, as well as champion a culture of innovation +… 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