- TD Bank (New York, NY)
- …who can provide you more specific details for this role. **Job Description:** TD Securities Compliance team is seeking a Director-level candidate to lead the ... Chief Data Officer (CDO), Data and Delivery Initiatives (DDI) team, Compliance Technology, First-Line Risk and Control, and Front Office Technology to deliver a… more
- Fluent (New York, NY)
- …to the Chief Financial Officer and play a key role in ensuring compliance with all SEC reporting requirements and corporate governance matters. You will lead our ... risk management + Advise on and oversee policies and procedures relating to securities law compliance and disclosure matters, including the administration of the… more
- S&P Global (New York, NY)
- …analytical activities within other divisions, as needed. **The Impact:** As a Review Officer , you will join a team of risk management professionals representing S&P ... innovation and power global markets. S&P Global has a Securities Disclosure and Trading Policy ("the Policy") that seeks...holding and trading. The Policy is designed to promote compliance with global regulations. In some Divisions, pursuant to… more
- Wells Fargo (New York, NY)
- …seeking a Lead Business Execution Consultation for the Commercial Mortgage Loan & Securities Finance (CMLSF) chief operating officer team, within Commercial Real ... of a background check. Internal transfers are subject to compliance with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III,… more
- City of New York (New York, NY)
- …not be limited to, the following: Drafting Agency Agreements: - Assist OMB's Privacy Officer in ensuring agency compliance with City, State and federal privacy ... needed, and track all outstanding agreements to ensure OMB compliance . - Assist in drafting Memorandums of Understanding, Inter-Agency...in legal matters relating to the issuance of municipal securities by the City and the Bond Financing Entities.… more
- Citigroup (New York, NY)
- …to clients based on client profiling and suitability assessments + Make securities recommendations and provide investment advice to clients through a select number ... appropriate (including, but not limited to Small Business Partners, Home Lending Officer , etc.) + Acquire new clients through converting referral leads + Manage… more
- SMBC (White Plains, NY)
- …SMBC Group offers a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has more than 130 ... in the Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets, Inc., SMBC MANUBANK, JRI America, Inc.,… more
- Bank of America (New York, NY)
- …capital, liquidity and interest rate risks, including price risk in the CFO managed securities portfolio. As the Chief Risk Officer (CRO) function covering the ... and performing review and challenge of regulatory rule interpretations and rule compliance documentation + Develop and demonstrate acumen for the identification of… more
- Citigroup (New York, NY)
- …assurance to the Board of Directors, the Committees, the Citigroup Chief Risk Officer , the Citigroup Chief Credit Officer , senior management and regulators on ... Entities + Assess counterparty credit risk and market risk for Securities Financing Transactions and Over-the-Counter transactions + Evaluate whether the Business… more
- MUFG (New York, NY)
- …(DPPO). The Director of Americas DPPO will lead the data privacy and protection compliance team for MUFG Americas, including the US, Canada, and Latin America. The ... position reports to the Global Chief Privacy Officer and plays a key leadership role in developing...and implementing appropriate changes to existing policies, standards and compliance programs based on legal and regulatory developments. +… more