- 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
- 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
- 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
- Wells Fargo (San Francisco, CA)
- …role:** The Tech, Media & Telecom (TMT) Investment Banking group is seeking a Vice President , Semiconductor, to join its San Francisco office. The Semiconductor ... Wells Fargo. **In this role, you will:** + The Vice President will be responsible for independently...are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and… more
- Wells Fargo (New York, NY)
- …Industrials Investment Banking team at Wells Fargo is seeking a talented and experienced Vice President Investment Banker to play a pivotal role in the growth ... and Packaging. **In this role, you will:** + The Vice President will be responsible for independently...are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and… more
- JPMorgan Chase (Jersey City, NJ)
- …and ongoing supervisory engagements. You will collaborate with senior leaders across the Broker Dealer , Futures Commission Merchant, Swap Dealer and Security ... financial institution or regulator, consulting or legal firm + Experience in Broker Dealer , FCM, Swap Dealer , Control Management, Compliance, Audit, and/or… 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
- MUFG (New York, NY)
- …and other Control personnel to determine MSIIs / audit points. Assist the broker dealer entity in correctly Identifying the overall issue owner, deliverables ... updates + Assist in identifying data risks in RCSAs across the broker dealer entity (adhoc risk / controls reviews, group self-assessments, and controls testing)… more
- Equitable (New Orleans, LA)
- Regional Vice President - Mutual Funds (External Wholesaler) - TX, OK, AR, LA & MS ( 250000HE ) **Primary Location** : UNITED STATES-LA-New Orleans **Other ... to join an organization that will help unlock your potential? The Regional Vice President - External Wholesaler will develop and manage consultative… more
- Manulife (Workman, MN)
- …will be in the Southeastern US region.** The John Hancock Insurance (JHI) Regional Vice President (RVP) is responsible for sales of John Hancock life insurance ... internal or external life insurance wholesaling experience at the carrier level, broker dealer or wire house. Successful point of sale experience is highly… more
- Manulife (NC)
- …will be in the Southeastern US region.** The John Hancock Insurance (JHI) Regional Vice President (RVP) is responsible for sales of John Hancock life insurance ... internal or external life insurance wholesaling experience at the carrier level, broker dealer or wire house. Successful point of sale experience is highly… more
- Wells Fargo (Charlotte, NC)
- We are seeking a Vice President to join our Mid-Cap Investment Banking team in Charlotte, NC. In this role, you will be responsible for managing and developing ... disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing regulatory… more
- Wells Fargo (New York, NY)
- …Municipal Products Group, Credit Sales & Trading. Wells Fargo is seeking a Vice President -level eRates Algorithmic Trading Strategist to help lead the build-out ... disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing regulatory… more
- Wells Fargo (New York, NY)
- …Fargo. **About this role:** Wells Fargo is seeking a Lead Investment Banker, Vice President with our Healthcare team within Corporate and Investment Banking ... disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing regulatory… 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
- SMBC (Jersey City, NJ)
- …matter expert in the Regulatory Reporting Automation for BHC, Branch, Liquidity or Broker Dealer regulatory reports. This position will provide leadership to the ... not limited to reports such as the FRB reports, knowledge of broker - dealer reporting, liquidity reporting, etc.) + Experience in capital markets asset classes… 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
- TD Bank (New York, NY)
- …JD desirable but not required. + 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. + Firm… more
- BMO Financial Group (New York, NY)
- …activities, risk taxonomies and applicable regulations surrounding them. + Knowledge of the Broker Dealer and Banking Regulations, which include but not limited ... to SEC, FINRA, OCC, FRB, NFA and CFTC. + Demonstrated analytical, auditing, writing, communications, and presentation skills. + Strong collaborative skills + Excellent Excel spreadsheet manipulation and data analytic skills; familiarity with PowerBI, Python… more