- Citigroup (New York, NY)
- **Position Overview:** Citi's Global Broker - Dealer Legal Entity Treasury team is seeking a highly qualified AVP candidate to support Broker - Dealer ... and oversight requirements within the Treasury organization. **Team Description:** The Global Broker - Dealer Legal Entity Treasury team within the Global Treasury… more
- JPMorgan Chase (Washington, DC)
- …in the Maryland and District of Columbia regions, specifically within the Independent Broker Dealer (IBD) channel. Your role will involve promoting and expanding ... JPMorgan's market share across various platforms such as mutual funds, ETFs, separately managed accounts, model portfolios, direct indexing, and 401K platforms. You will be working closely with top IBD partner firms like LPL, Raymond James, Ameriprise, Edward… 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
- JPMorgan Chase (Chicago, IL)
- …and providing valuable regulatory insight. As an Insurance Product Sales Attorney - Vice President , Assistant General Counsel within our Wealth Management Legal ... organization with demonstrated insurance experience. + Experience in insurance and broker - dealer matters, including knowledge of state insurance laws and… more
- Lincoln Financial (Greensboro, NC)
- …74598 **The Role at a Glance** We are seeking an experienced **Assistant Vice President , Application Development** to lead the design, development, deployment of ... to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln… more
- JPMorgan Chase (Chicago, IL)
- …products and solutions to meet their generational wealth management needs. As a Vice President Sales Practice Manager within JP Morgan Wealth Management, you ... in the development of reviews of potential sales practice issues, including broker - dealer documents, trading, and financial information. + Present findings… more
- NatWest Markets (Stamford, CT)
- US Operations Oversight & Advisory, Vice President Stamford,United States Permanent Full Time \#R-00252575 Our people work differently depending on their jobs ... / 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 (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
- 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
- TD Bank (New York, NY)
- …partners and groups. + 6 or more years of experience with a registered US broker dealer or regulator. + Knowledge of wholesale banking products and services, ... operations, regulatory frameworks (eg, applicable rules and regulations), and the ability to learn new areas while supporting them. + Excellent interpersonal, organizational, and communication (oral and written) skills. + Client service skills - the candidate… more
- JPMorgan Chase (New York, NY)
- …+ 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
- 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
- Aegon Asset Management (Denver, CO)
- …Job Description Responsibilities + Execute the strategy and goals outlined by the Vice President of Advanced Markets. + Communicate retirement, estate, tax and ... at locations nationwide. + Deliver presentations at industry and broker dealer conferences. + Serve as a...for Advanced Markets conduct, commitment and performance; assist the Vice President , Advanced Market with management of… more
- Mizuho Corporate Bank (New York, NY)
- …designed to add value and improve Mizuho Bank's US operations including derivative activities, broker dealer and swap dealer businesses. Based in the New ... composes the overseas arm of MHBK's Internal Audit Division (IAD). Summary Vice President supporting IADA by maintaining a robust Quality Assurance (QA) program… more
- Lincoln Financial (Greensboro, NC)
- …leveraging multiple mediums, within a test and learn culture? We are seeking an Assistant Vice President of Life Insurance Marketing to lead an agile pod of ... to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln… more
- Mizuho Corporate Bank (New York, NY)
- …to add value and improve Mizuho Bank's US operations including the derivatives and broker dealer businesses. Based in the New York Metro area, IADA staff ... to such parties. + Demonstrates ability to effectively support the team's Vice President and Director, with respect to the administrative management of IAD. The… more