- MUFG (New York, NY)
- …team will provide more details. **Main Responsibilities:** The US and Canada Broker Dealer Treasury team is part of the HoldCo Treasury, Capital Management ... directly to the Treasurer, the AVP will have involvement in all broker dealer treasury functions including funding and liquidity risk management, asset liability… more
- Vanguard (Malvern, PA)
- …its growing and evolving service offerings, Vanguard seeks a highly skilled broker -dealer compliance professional to lead strategic compliance activities ... state regulations will complement the required skills. As a trusted leader, the Head of Brokerage Oversight Compliance , will also provide strategic direction to… more
- Zurich NA (New York, NY)
- VP, Head of US Cargo 125738 What can go...focused on profitable growth and superior service to our broker partners and customers. We are looking for someone ... serve. Zurich North America is hiring an experienced VP, Head of Cargo to join our Specialties Accounts team...business or segment (Cargo) Preferred Qualifications: * CPCU *Established Broker partnerships in New York area. * Strong knowledge… more
- Capital One (New York, NY)
- Head of Product, Commercial Bank Capital Markets **Capital Markets | Head of Product | Senior Director** The Capital Markets Group is a high growth business ... equity and structured products) and customer derivatives. As the Head of Product for Capital Markets you will be...working knowledge of regulatory requirements relevant to the bank's Broker Dealer (SEC / FINRA) and Swap Dealer (CFTC… more
- GuideOne Insurance (West Des Moines, IA)
- The SVP, Head of Distribution and Business Development, is a senior executive responsible for driving overall distribution strategy, profitable growth and ... Lead segmentation and establish consistent rules of engagement (eg, broker -of-record, selective access models) to strengthen underwriting effectiveness. + Cultivate… more
- Guardian Life (New York, NY)
- Our Head of Annuity and Retirement Marketing will lead marketing strategy and support for the annuity line of business, reporting to the Head of Product ... execute with excellence. Key stakeholders include Product Development, Distribution, Compliance , Legal, Technology, and outside vendors. **Responsibilities:** + Responsible… more
- TD Bank (Boston, MA)
- …for this role. **Line of Business:** TD Wealth **Job Description:** The Head of Wealth Remediation is responsible for expanding and managing regulatory oversight ... partnering with US Wealth Senior Leadership Team, Federated Partners ( Compliance , Legal), and AMCB Consumer Bank teams to ensure...**OCC:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements… more
- TD Bank (Mount Laurel, NJ)
- …details for this role. **Line of Business:** TD Wealth **Job Description:** The Head of Wealth Business Management / Administration is a critical executive role ... role will also lead first-line engagement and activities with Compliance and Legal with respect to Office of Supervisory...**OCC:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements… more
- TD Bank (New York, NY)
- …details for this role. **Line of Business:** TD Wealth **Job Description:** The Head of Investment Product is responsible for formulating strategy that is required ... with risk appetite + Ensures all products are in compliance and meet all regulatory requirements **Education & Experience:**...**OCC:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements… more
- SMBC (Jersey City, NJ)
- …the CRA are utilized to drive monitoring and testing activities and to prioritize Compliance and other resources as new emergent risks are identified. This role will ... include conducting compliance risk assessments of certain US legal entities in...will encompass SMBC Group's Americas Division, inclusive of US broker dealer and registered swap dealer; SMBC Group's wholesale… more