- TD Bank (New York, NY)
- …more specific details for this role. **Job Description:** Preferred Qualifications: TD Securities ' (TDS) Governance & Control (G&C) team partners with the TDS ... risk and having effective operational controls in place. The position is expected to support and work with other...G&C leads, and Risk and Control Partners such as Compliance and Risk Management; and + Foster an environment… more
- SMBC (New York, 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
- Wells Fargo (Tarrytown, NY)
- …terms and/or taking an application for a dwelling secured transaction. As such, this position requires compliance with the SAFE. Mortgage Licensing Act of 2008 ... provides the MU4R questions and registration required for employment in this position + Individuals in Loan Originator (LO) positions must meet… more
- Wells Fargo (New York, NY)
- …terms and/or taking an application for a dwelling secured transaction. As such, this position requires compliance with the SAFE Mortgage Licensing Act of 2008 ... provides the MU4R questions and registration required for employment in this position + Individuals in Loan Originator (LO) positions must meet… more
- MUFG (New York, NY)
- …sponsor-based clients across the Power & Utilities vertical lending business. The position involves the critical functions of assessing risk factors associated with ... portfolio utilizing internal and external sources + Oversight of covenants compliance database and facility closing due diligence, including documentation + Attend… more
- TD Bank (New York, NY)
- …Wealth (US) and TD's investment in TD Ameritrade + **Wholesale Banking** including TD Securities TD had CDN$1.3 trillion in assets on October 31, 2018. TD also ranks ... Buffers/JSON/SBE codecs + Graphite and Grafana for metrics + RHEL Linux 8 ** Position Overview** The Transparency Team is looking for a senior-level (VP) software… more
- Citigroup (New York, NY)
- This is a senior level position responsible for overseeing the growth of a private developed markets financing business covering North American clients. Focus will ... with Sales, Syndication, and other organizations across Markets and Securities Services and the broader business + Deliver on...in close partnership with control functions such as Legal, Compliance , Market and Credit Risk, Audit, Finance in order… more
- SMBC (New York, 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 ... Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets, Inc., SMBC MANUBANK,...Head Office in Tokyo, are also in scope. This position will report to the Head Team Lead (Executive… more
- Janus Henderson Investors (New York, NY)
- …professional to lead strategy and execution for residential mortgage-backed securities (MBS) portfolios. This role emphasizes asset selection, risk oversight, ... and performance optimization, all within the framework of regulatory compliance and client mandates. + Design and implement investment strategies for agency and… more
- Siebert Williams Shank (New York, NY)
- …platform, and a sound regulatory capital base. We are a SEC-registered securities broker-dealer and member of the Financial Industry Regulatory Authority (FINRA) and ... the Municipal Securities Rulemaking Board (MSRB). Our diverse professionals are not...all activities and duties are carried out in full compliance with regulatory requirements and internal policies and procedures… more