- 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
- 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
- Wells Fargo (New York, NY)
- …Credit Sales & Trading. **About this role:** Wells Fargo is seeking an Equity Research, Vice President - Software. Learn more about the career areas and lines of ... our institutional investor client base via consistent dialogue. The Vice President will build strong relationships not...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
- 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
- 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
- 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
- Wells Fargo (New York, NY)
- …statutory disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing ... regulatory obligations, which include periodic screening and mandatory reporting of certain incidents. + Specific compliance policies may apply regarding outside activities or personal investing; affected employees will be expected to provide information to… more
- JPMorgan Chase (New York, NY)
- …in developing low-latency client solutions tailored for our systematic trading and broker - dealer clients. This involves engaging with clients, exchanges, and ... alternative trading systems (ATSs), while collaborating closely with the firm's compliance and business control management teams to ensure adherence to control, risk management, and regulatory obligations. You will work in close collaboration with various… more
- MUFG (New York, NY)
- …3-5 years of experience in US Treasury securities settlements, preferably in a broker - dealer environment. + Strong analytical and problem-solving skills with a ... high attention to detail. + Proficiency BONY BDC, Broadridge Impact, Broadridge BPS and MS Excel. + Excellent communication and interpersonal skills. + Ability to work independently and as part of a team in a fast-paced environment. + Meticulous in ensuring… 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
- SMBC (New York, NY)
- …SMBC offers a competitive portfolio of benefits to its employees. **Role Overview** The Vice President (VP) in the Americas Market Risk Management Governance and ... Combined US Operations (CUSO), the SMBC Capital Markets Swap Dealer , and Nikko Securities America's Broker - Dealer...Markets Swap Dealer , and Nikko Securities America's Broker - Dealer entity. This role provides independent risk… more
- TD Bank (New York, NY)
- …New York Office TD Securities is seeking a highly skilled and technology proficient Vice President to join its US Wholesale Controllers group within US Finance ... and consolidation of the monthly close, review entries and reconciliations for broker - dealer and non- broker - dealer entities and ensure compliance with… more