- TD Bank (New York, NY)
- …details for this role **Job Description:** **Preferred Qualifications:** We are seeking a Vice President , Fixed Income Compliance Advisory to join TD Securities ... Provide day to day coverage of the Firms Primary Dealer and GSE Compliance programs + Identify regulatory trends...providing legal, regulatory or compliance advice to Fixed income sales and trading including TSY, Agencies, MBS, ABS, and… more
- MUFG (New York, NY)
- …Capital Markets 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 required for assigned areas (MS… more
- JPMorgan Chase (New York, NY)
- …insight. As a Wealth Management, Financial Products and Regulatory Attorney - Vice President , Assistant General Counsel within our Wealth Management Legal ... support to internal Wealth Management and Products Solutions clients, including Advisors, Sales Management, Operations, Risk, and Controls, as needed. You will work… more
- SMBC (New York, NY)
- …trading/risk as a business analyst in front office * Solid knowledge of broker- dealer /investment banking environment, sales & trade flows and eTrading domain ... and industry standards. **Role Objectives** * Work closely with Sales & Trading, and Control Function departments * Provide...to the current environment * Work directly with the Sales & Trading Desk to help find remedies to… 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 ... * Become an expert on the full offering of sales and trading applications and how they are leveraged...with fixed income business ensuring to meet trading and sales needs and expectations * Collaborate with various stakeholders,… more
- Ohio Machinery Co (Broadview Heights, OH)
- …actions to share across all product nodes. + Additional responsibilities as directed by the Vice President of Sales and Rental include evaluation of emerging ... - See what opportunities await today! JOB SUMMARY: The Director, of Power Systems Sales & Emerging Markets will work with other Division Managers to ensure the… more
- Guardian Life (New York, NY)
- …purely a "technician". The PAS Chief Compliance Officer will report directly to the Vice President , Chief Compliance Officer for Individual Markets, who is a ... overall compliance framework for PAS as a dually registered broker- dealer and investment adviser. The incumbent will lead the...this position will have a dotted line to the President , Park Avenue Securities. Reporting into the PAS Chief… more
- Caterpillar, Inc. (Nashville, TN)
- …derivatives and cash management, by region. * Typical internal customers include the Senior Vice President , Vice President & Corporate Treasurer, ... all enjoy living in it. **About Us:** With 2023 sales and revenues of $67.1 billion, Caterpillar Inc. is...Our innovative products and services, backed by our global dealer network, provide exceptional value that helps customers succeed.… more
- Morgan Stanley (Purchase, NY)
- …Morgan Stanley Wealth Management's Legal and Compliance Division is seeking to hire a Vice President to join a team providing legal coverage for Wealth ... firm and/or in-house, preferably with a financial services firm (including a broker- dealer , bank, investment advisory firm, or insurance company). > Experience with… more
- STERIS (Des Plaines, IL)
- …that aligns strategically with the organization's goals and objectives. + Collaborates with the Vice President , Sales to ensure consistent sales ... marketing or distribution experience in a management capacity is desirable + Service sales experience strongly preferred + Familiarity with dealer channel of… more
- Santander US (New York, NY)
- …Middle Office Business Support- CIB New York, United States of America The Vice President /Sr. Associate of Equity Middle Office Business Support within the ... & dynamic environment. **Responsibilities:** + Daily support to the Equity Trading & Sales desk, answering queries and liaising with service teams to ensure trades… more
- Subaru of America (Costa Mesa, CA)
- …and good facilities that are properly located. In conjunction with the Regional Vice President and Zone Director, select retailer candidates. + With assistance ... is the Zone front line position to strengthen the dealer body and is the zone level champion of...recommend facility improvements that will assist in increasing overall sales and enhancing customers' experience and loyalty to individual… more