• Capital Introduction VP - Securities Lead

    Wells Fargo (New York, NY)
    …Capital Introduction, Equity Finance** Wells Fargo Equity Finance sits within the Equities Division of the Corporate & Investment Bank of Wells Fargo (CIB). Wells ... Equity Finance **In this role, you will:** + Lead complex initiatives to sell securities to clients + Conduct trades with broad impact, and act as key participant… more
    Wells Fargo (05/29/25)
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  • Securities Principal Control Professional

    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
    Citizens (05/23/25)
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  • PCG Compliance Senior Manager

    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
    Raymond James Financial, Inc. (05/01/25)
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  • Regulatory Change Management Attorney

    US Bank (New York, NY)
    …develop strong working relationships with partners across multiple lines of business, compliance , risk, and the Law Division . **Primary Responsibilities** - ... registered investment adviser requirements, including SEC and FINRA regulations and state securities laws. - Advise business lines, compliance , and other… more
    US Bank (05/31/25)
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  • VP - Finance

    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
    TD Bank (05/14/25)
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  • Senior Treasury Portfolio Manager - Middle Office…

    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
    M&T Bank (05/07/25)
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  • Deputy Chief - Municipal Finance

    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
    City of New York (05/14/25)
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  • Engineer III, Software Development

    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 (05/16/25)
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  • America's Head of Financial Services and Sponsors…

    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 (05/31/25)
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  • GenAI Solutions Architect - Assoc Dir / Dir

    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
    S&P Global (03/20/25)
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