- Truist (New York, NY)
- …and regulatory knowledge with an emphasis on: Credit, Market, Liquidity, Compliance , Operational, Reputation and Strategic Risks. 6. Strong leadership and ... risk and regulatory knowledge with an emphasis on Non-Financial Risks. ( Compliance , Operational, Reputational, Strategic Risks) + Knowledgeable of Credit, Market and… more
- Aflac (New York, NY)
- VP, Investment Compliance Manager The Company: Aflac Asset Mgt. LLC The Location: New York City, NY, US, 10005 The Division : Global Investment Job Id: 8034 About ... Advisers Act of 1940, Investment Company Act of 1940, Securities Act of 1933 and Securities Exchange...registered investment advisers is a must. + Proactively identify compliance issues and obtain workable resolution. Make a broad… more
- Raymond James Financial, Inc. (New York, NY)
- …will lead and oversee the design, implementation, and supervision of a comprehensive compliance program for the Capital Markets division . This role requires ... with business objectives, ensuring operational excellence. **Advanced Knowledge of:** + Securities industry compliance practices, concepts, and procedures. +… more
- SMBC (New York, NY)
- …closely with subject matter experts (SMEs) and senior stakeholders within the Americas Division (AD) to develop, communicate, and manage compliance policies that ... a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has...Sumitomo Mitsui Banking Corporation (SMBC) is seeking a dynamic Compliance Policy Manager to join our Compliance … more
- Wells Fargo (New York, NY)
- …sales and trading issues + Provide guidance with respect to municipal securities transaction-related activities, including compliance with federal securities ... Markets Section of the Corporate & Investment Banking Legal Division to support the Wells Fargo Corporate & Investment...SEC and MSRB rules and regulations relating to municipal securities underwriting and sales and trading + Knowledge of… more
- TD Bank (New York, NY)
- …role. **Job Description:** **Position Title:** Finance Analyst (L9) **Business Unit:** TD Securities ** Division /Region:** TD Securities USA (New York/Canada) ... States of America **Hours:** 40 **Line of Business:** TD Securities **Pay Detail:** $80,000 - $103,000 USD TD is...+ Support Governance related tasks/mandate and work closely with Compliance and 1B business partners to understand and satisfy… 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
- 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
- S&P Global (New York, NY)
- …use):** 12 **The Team** The In-Business Controls team within the Ratings division is dedicated to ensuring operational excellence and robust risk management. We ... we consistently meet the highest standards of performance and compliance . **The Role** Reporting to Head of Vendor Management,.... with regular interaction with senior leaders in the Division and Corporate Functions. You will also develop a… more
- Citigroup (New York, NY)
- Securities Finance encompasses the Agency Securities Lending (ASL), Directed Agent Investment Services (DAIS), and Collateral products within the Execution ... Services division of Investor Services. The business partners with institutional...investors to enhance their portfolio returns through intrinsic value securities lending, liquidity management, and collateral optimization. Citi's key… more