- 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
- 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
- Athene (West Des Moines, IA)
- …impact the business unit or the department. + Is a key partner with the Divisional Vice President , Broker Dealer Channel in ensuring internal and ... + Works with Vice President , Internal Sales and Divisional Vice President , Broker Dealer channel to develop strategy around channel growth.… 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 (San Francisco, CA)
- …role:** The Tech, Media & Telecom (TMT) Investment Banking group is seeking a Vice President , Semiconductor, to join its San Francisco office. The Semiconductor ... Wells Fargo. **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
- 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
- JPMorgan Chase (Jersey City, NJ)
- …and ongoing supervisory engagements. You will collaborate with senior leaders across the Broker Dealer , Futures Commission Merchant, Swap Dealer and Security ... financial institution or regulator, consulting or legal firm + Experience in Broker Dealer , FCM, Swap Dealer , Control Management, Compliance, Audit, and/or… 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
