- 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