- JPMorgan Chase (Columbus, OH)
- As a Wealth Management Financial Products and Regulatory Attorney - Vice President , Assistant General Counsel within our Wealth Management Legal team, you will ... organization with demonstrated financial services experience. + Experience in broker - dealer and investment advisory matters, including knowledge of… 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
- Robert Half Legal (San Diego, CA)
- …enterprise-wide adherence to securities regulations. TO APPLY, ONLY send resume directly to Vice President of Direct Hire, Samantha Graham at Samantha [dot] ... Description Financial Services Company Seeks Senior Attorney Focused on Broker - Dealer Compliance & FINRA Arbitrations About Firm...regulatory proceedings TO APPLY, ONLY send resume directly to Vice President of Direct Hire, Samantha Graham… 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
- Santander US (Miami, FL)
- I-Banking Pre & Post Trade Exchange Traded Derivatives & Clearing Operations, Vice President Country: United States of America **Your Journey Starts Here:** ... all regulatory aspects governing the ETD's and Clearing activities in a US Broker Dealer . + Proven track record of managing providers of outsourced services +… more
- Mizuho Corporate Bank (New York, NY)
- …position requires wide breadth of expertise in various regulatory reporting , especially for broker dealer regulatory reports , as well as experience in managing ... risk RWA and Market Risk RWA, and some r eport s required for broker dealer : NFA Form, Margin Report, 17CFR 23.105k and Quarterly Risk Exposure Report . The… more
- NatWest Markets (Stamford, CT)
- US Operations Oversight & Advisory, Vice President LocationStamford,United States Job typePermanent Contract typeFull Time \#R-00252575 Our people work ... / flow. + Direct understanding of US regulatory requirements specific to Broker Dealer Operations. + Individual must be self-motivated who is willing to attend… more
- Citigroup (Jersey City, NJ)
- …employee trading, outside activities surveillance, and information barrier controls/surveillance. This Vice President (VP) role sits within the Control Room ... rules and regulations + Demonstrated knowledge in area of focus including, Broker Dealer Information Barriers, Corporate and Investment Banking, Capital Markets,… more