- Raymond James Financial, Inc. (New York, NY)
- …and PCG to ensure supervisory practices align with regulatory expectations, mitigate firm risk, and support advisor and client outcomes. + Develop and implement ... a robust supervisory framework for investment advisory programs. + Monitor regulatory... advisory programs. + Monitor regulatory changes and ensure firm -wide compliance across advisory activities. + Foster a continuous… more
- JPMorgan Chase (New York, NY)
- …are at the center of keeping JPMorgan Chase strong and resilient. You help the firm grow its business in a responsible way by anticipating new and emerging risks, ... best-in-class. As a Vice President in the Commercial and Investment Banking team within the Commercial and Investment...and internal stakeholders, you will lead and coordinate the firm 's responses to exams; field, direct, and respond to… more
- JPMorgan Chase (New York, NY)
- The Corporate & Investment Bank is a global leader across investment banking, wholesale payments, markets and securities services. The world's most important ... and companies, and actionable ideas using research to make well-informed investment decisions. Teams understand products across asset classes and help clients… more
- HUB International (New York, NY)
- …supporting HUB International's Retirement & Private Wealth (RPW) SEC registered investment advisor and limited purpose FINRA Broker-Dealer: The Deputy Chief ... and Risk Officer in implementing, updating, and maintaining SEC investment advisor and/or FINRA compliance policies and procedures. This...Aid in the administration and follow up of the firm 's Code of Ethics and other policies and procedures… more
- Janus Henderson Investors (New York, NY)
- …or outflows, and the wire approval process + Establishing cash accounts and investment accounts for excess cash + Managing margin calls associated with hedging and ... Relations + Leading operational due diligence and participating in investment due diligence with prospective investors or consultants +...forms, etc. What to expect when you join our firm + Hybrid working and reasonable accommodations + Generous… more
- Neuberger Berman (New York, NY)
- …and individual investors globally. Tenured, stable and long-term in focus, the firm has built a diverse team-including 760-plus investment professionals and ... consistent with the law.** _Neuberger Berman is an equal_ _opportunity_ _employer. The Firm and its affiliates do not discriminate in employment because of race,… more
- Neuberger Berman (New York, NY)
- …and individual investors globally. Tenured, stable and long-term in focus, the firm has built a diverse team-including 760-plus investment professionals and ... consistent with the law.** _Neuberger Berman is an equal_ _opportunity_ _employer. The Firm and its affiliates do not discriminate in employment because of race,… more
- Zero Hash (NY)
- …experienced VP - Global Corporate Treasurer to oversee, lead and scale the firm 's Treasury function, including all processes and operations. We are a high performing ... rewarding in equal measure. Key Responsibilities: + Oversee the firm 's day-to-day Corporate Treasury activities globally + Lead the...daily liquidity needs, and maximize yield on cash / investment returns + Build and oversee Zero Hash's FX… more
- Neuberger Berman (New York, NY)
- …and individual investors globally. Tenured, stable and long-term in focus, the firm has built a diverse team-including 760-plus investment professionals and ... consistent with the law.** _Neuberger Berman is an equal_ _opportunity_ _employer. The Firm and its affiliates do not discriminate in employment because of race,… more
- Neuberger Berman (New York, NY)
- …and individual investors globally. Tenured, stable and long-term in focus, the firm has built a diverse team-including 760-plus investment professionals and ... consistent with the law.** _Neuberger Berman is an equal_ _opportunity_ _employer. The Firm and its affiliates do not discriminate in employment because of race,… more