- TD Bank (New York, NY)
- …understanding of current compliance and regulatory issues related to US Securities and financial markets (OCC, SEC , FINRA, and State Securities Regulators) + ... + Develops and implements relevant sales force management and reporting tools and metrics; Provides analysis and reporting...general business acumen are essential + In-depth knowledge of financial industry trends and ability to ensure that the… more
- BMO Financial Group (New York, NY)
- …Fixed Income Compliance team in New York with a focus on FINRA and SEC broker-dealer requirements and corresponding oversight. We are looking for someone to work ... mitigate them. Develop and maintain compliance information for analysis and reporting . Achieve compliance goals by maintaining current knowledge of regulatory… more
- TD Bank (New York, NY)
- …and fundings. The PCS I will be expected to participate in basic financial planning discussions and client relationship reviews. This role will support other team ... on required platforms (Private Banking, Investments and Trusts) + Handles complex financial transactions where products and services are highly competitive + Is… more
- TD Bank (New York, NY)
- …tooling and metrics. The ideal candidate will have strong expertise in financial markets, data governance, trade surveillance systems, and regulatory requirements at ... a large investment bank/systemically important financial institution in the US. Our team of trusted...regulatory requirements as it relates to surveillance data (eg, SEC , CFTC, NFA, FINRA, FCA, CIRO, etc.) and aligns… more
- SMBC (White Plains, NY)
- SMBC Group is a top-tier global financial group. Headquartered in Tokyo and with a 400-year history, SMBC Group offers a diverse range of financial services, ... than 130 offices and 80,000 employees worldwide in nearly 40 countries. Sumitomo Mitsui Financial Group, Inc. (SMFG) is the holding company of SMBC Group, which is… more
- US Bank (New York, NY)
- …to read, understand, and analyze a 10K/10Q (including the Notes to Financials) along with other SEC Reporting + 2 - 3 years' work experience, preferably in a ... and businesses we serve to make better and smarter financial decisions and enabling the communities we support to...clients and help them grow. **As a Junior Relationship Manager - Supply Chain Finance, you'll:** + Coordinate efforts… more
- TD Bank (New York, NY)
- …accuracy, completeness, and timeliness of data used to detect market abuse, financial misconduct, and regulatory violations. The ideal candidate will have deep ... expertise in financial markets, data governance, trade surveillance systems, and regulatory...regulatory requirements as it related to surveillance data (eg, SEC , CFTC, NFA, FINRA, FCA, CIRO, etc.) and aligns… more
- TD Bank (New York, NY)
- …have previous compliance experience, preferably in an advisory capacity. The Senior Manager will provide support to the overall Markets Advisory Compliance team ... practice. + Knowledge of rules surrounding TRACE, MSRB RTRS Reporting and US Treasury Auctions + Identify key regulatory...with the ability to assess firm impact. Specifically, FINRA, SEC , CFTC, NYSE, FED and OCC. + Excellent oral… more
- TD Bank (New York, NY)
- …assembles and prepares data and special reports, providing analysis and summaries (eg SEC research, merger & acquisition or Proxy activity) + Conducts projects as ... enterprise + Demonstrated PC skills, including proficiency with spreadsheets, reporting tools and presentation software **Physical Requirements:** Never: 0%;… more
- Citigroup (New York, NY)
- The Sec & Derivatives Sr Grp Mgr is a senior management level position responsible for accomplishing results through the management of the Global Fixed Income and ... structured transactions. The Global Fixed Income and Commodities Structured Middle Office manager will oversee global teams managing these this function focused on… more