- Citizens (New York, NY)
- …includes conducting risk assessments to identify potential operational, regulatory, and compliance risks within the wealth management division . + Responsible ... work independently and receive minimal guidance while maintaining client service and compliance standards as new wealth teams are transitioned to the firm. Primary… more
- Raymond James Financial, Inc. (NY)
- …and Abilities** **Advanced Knowledge of:** + Concepts, practices, and procedures of securities industry and/or banking compliance reviews. + Rules and ... certification to ensure the tactical and strategic success of the firm's PCG Compliance program. Responsibilities include but are not limited to providing advice and… more
- TD Bank (New York, NY)
- …**Job Description:** **Position Title:** Vice President - Finance **Business Unit:** TD Securities ** Division /Region:** TD Securities USA (New York) **Report ... **Hours:** M - F 8:30 - 5:00 Overview TD Securities US Finance is a part of the wider...+ Manage Governance related tasks/mandate and work closely with Compliance and 1B business partners to understand and satisfy… more
- M&T Bank (Buffalo, NY)
- …strategic management of the valuation and risk management of the bank's securities and derivatives arising from balance sheet hedging, customer back-to-back business ... + Actively participates at the Corporation's Governance Committees + Manage internal compliance with MRMD and ensure compliance with model oversight governance… more
- S&P Global (New York, NY)
- …ratings outstanding on government, corporate, financial sector and structured finance entities and securities . We offer an independent view of the market built on a ... businesses, governments, and institutions. S&P Global Ratings is a division of S&P Global (NYSE: SPGI). S&P Global is...innovation and power global markets. S&P Global has a Securities Disclosure and Trading Policy ("the Policy") that seeks… more
- S&P Global (New York, NY)
- …while ensuring alignment with the broader business objectives within Commercial and Ratings division . + Lead, manage, mentor, and coach the team of US Public Finance ... internal relationships and ongoing dialogue with USPF analytical leadership, ensuring compliance with regulatory and corporate governance requirements in all sales… more
- City of New York (New York, NY)
- …Law Department is seeking applications for the Deputy Chief of its Municipal Finance Division . The division provides in-house counsel to the City and related ... including education, transportation, economic development and environmental protection. The Division also performs corporate governance work for the City's debt… more
- S&P Global (New York, NY)
- …organizations, including businesses, governments, and institutions. S&P Global Ratings is a division of S&P Global (NYSE: SPGI). S&P Global is the world's foremost ... businesses, governments, and institutions. S&P Global Ratings is a division of S&P Global (NYSE: SPGI). S&P Global is...innovation and power global markets. S&P Global has a Securities Disclosure and Trading Policy ("the Policy") that seeks… more
- S&P Global (New York, NY)
- …ensuring targets are met or exceeded, while maintaining high standards of compliance . + Utilize customer insights and market trends to inform sales strategies ... acting as a role model for integrity, customer orientation, collaboration, and compliance . + Must have analytical and problem-solving skills, with a focus on… more
- S&P Global (NY)
- …to track model performance, data quality, and infrastructure. + Security and Compliance : Implement security measures and compliance standards to protect ... businesses, governments, and institutions. S&P Global Ratings is a division of S&P Global (NYSE: SPGI). S&P Global is...innovation and power global markets. S&P Global has a Securities Disclosure and Trading Policy ("the Policy") that seeks… more