- SMBC (New York, NY)
- …to the President and is responsible for overseeing the management of the broker dealer 's compliance risk and is represented by the Chief Compliance Officer ... Compliance, IT Risk and Training committees. The Compliance Advisory Vice President role assists in managing a...years of regulatory and/or advisory compliance experience at a broker dealer . + A solid foundation in… more
- Citigroup (New York, NY)
- **Position Overview:** Citi's Global Broker - Dealer Legal Entity Treasury team is seeking a highly qualified AVP candidate to support Broker - Dealer ... and oversight requirements within the Treasury organization. **Team Description:** The Global Broker - Dealer Legal Entity Treasury team reports to the Global … more
- Athene (West Des Moines, IA)
- …to help you achieve more. Purpose: The Internal Wholesaler in the Independent Broker Dealer channel will educate Financial Advisors on Athene annuity products, ... & direct phone contact. This role will partner with the Regional Vice President (RVP) in assigned region to generate sales by prospecting, profiling and… more
- Hold Brothers (New York, NY)
- About the Job: Hold Brothers Capital, LLC, a leading self-clearing proprietary broker - dealer , is seeking an EVP of Finance & Operations to oversee the ... to reconcile data + Preparing financials and books and records for the Broker - Dealer according to GAAP and ensuring all regulatory reporting requirements are met… more
- JPMorgan Chase (Apple Valley, CA)
- …alternative solutions with financial advisors from wirehouse, private bank, RIA, independent broker / dealer , and JP Morgan Chase affiliate channels. + Proactively ... contact broker - dealer firms to identify avenues for increased penetration, including but not limited, to new advisor referrals, conference/meeting opportunities,… more
- SMBC (Jersey City, NJ)
- …portfolio of benefits to its employees. **Role Description** SMBC is seeking a Vice President , Accounting Policy Specialist. The Vice President ... SMBC Americas Holdings, Inc. and its US subsidiaries (including a broker dealer , lessor entities, swap dealer , commercial bank, etc.). **Responsibility**… more
- NatWest Markets (Stamford, CT)
- US Client Services and Onboarding, Vice President Closing date for applications: 25/09/2024 Stamford,United States Permanent Full Time \#R-00240566 Share: ... (https://jobs.natwestgroup.com/jobs/14840445-us-client-services-and-onboarding- vice - president /apply?tm\_src=0) Our people work differently depending on their… more
- Morgan Stanley (New York, NY)
- …**Title:** *Portfolio Strategy Consultant - Global Sales & Marketing - Vice President * **Location:** *New York-New York* **Requisition ID:** *3258109* ... relationships preferred. - Established relationships with decision makers at national broker / dealer and distribution platform. - Successful track record of… more
- Citigroup (Tampa, FL)
- The Broker Dealer Risk Officer is responsible for the risk life-cycle of these third party relationships for the Market's business. This role requires in depth ... and product knowledge and expertise in the day to day functions of a Broker Dealer . They will manage these third party relationship across all stages of control… more
- Citigroup (New York, NY)
- The role is in the Broker Dealer Regulatory Reporting Department, which is responsible for ensuring the capital adequacy of all of Citi's US broker dealers ... the monthly FOCUS reports for each and ensuring that the primary broker dealer , Citigroup Global Markets Inc. is compliant with the customer protection rule.… more