• Business Application Owner

    TD Bank (New York, NY)
    …York, New York, United States of America **Hours:** 40 **Line of Business:** TD Securities **Pay Detail:** $110,000 - $130,000 USD TD is committed to providing fair ... that support the Payments and Deposit Services of TD Securities . Our mission is 'To Deliver World Class Service'...knowledge of PowerPoint and Word **Who We Are** TD Securities offers a wide range of capital markets products… more
    TD Bank (11/13/25)
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  • Settlements

    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
    SMBC (11/13/25)
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  • Financial Crime Risk Oversight Specialist, Global…

    TD Bank (New York, NY)
    …Specialist, Global Markets **Reports to:** Director, Financial Crime Risk Oversight, TD Securities , US **Position Summary** The US FCRM TDS Business Oversight team ... supports TD Securities in developing, implementing, and maintaining a robust financial...essential functions for ADA purposes. **Who We Are** TD Securities offers a wide range of capital markets products… more
    TD Bank (11/11/25)
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  • Sr. MLE

    S&P Global (New York, NY)
    …we drive innovation and power global markets. S&P Global has a Securities Disclosure and Trading Policy ("the Policy") that seeks to mitigate conflicts ... of interest by monitoring and placing restrictions on personal securities holding and trading. The Policy is designed to...candidates at S&P Global may be asked to disclose securities holdings. Some roles may include a trading prohibition… more
    S&P Global (11/09/25)
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  • Lead Software Engineer

    S&P Global (New York, NY)
    …we drive innovation and power global markets. S&P Global has a Securities Disclosure and Trading Policy ("the Policy") that seeks to mitigate conflicts ... of interest by monitoring and placing restrictions on personal securities holding and trading. The Policy is designed to...candidates at S&P Global may be asked to disclose securities holdings. Some roles may include a trading prohibition… more
    S&P Global (11/08/25)
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  • Sr. Advisor, Compliance PCG Branch Exams

    Raymond James Financial, Inc. (New York, NY)
    …**Advanced knowledge of:** + Concepts, practices, and procedures of the securities industry, broker/dealer compliance and/or branch exams + Rules and regulations ... of the SEC, FINRA, and state securities regulatory agencies + Fundamental investment concepts, practices, and procedures used in the securities industry +… more
    Raymond James Financial, Inc. (11/07/25)
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  • Associate General Counsel Wealth

    Citizens (New York, NY)
    …experience in the RIA and Broker-Dealer space. + Thorough familiarity with federal securities laws, including the Securities Act of 1933, the Securities ... Exchange Act of 1934, the Investment Advisers Act of 1940, relevant portions of ERISA and its parallel provisions under the Internal Revenue Code, the Investment Company Act of 1940 and applicable FINRA rules. + Experience working with a range of issues… more
    Citizens (11/06/25)
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  • Senior FCRM Compliance Officer - Prime Brokerage…

    TD Bank (New York, NY)
    …FCRM Compliance Officer **Reports to:** Director, Financial Crime Risk Oversight, TD Securities , US **Position Summary** The US FCRM TDS Business Oversight team ... supports TD Securities in developing, implementing, and maintaining a robust financial...essential functions for ADA purposes. **Who We Are** TD Securities offers a wide range of capital markets products… more
    TD Bank (11/05/25)
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  • Director, Business Manager - Rates

    MUFG (New York, NY)
    …In-scope businesses include Government Bonds, Interest Rate Derivatives, Mortgages, Asset-backed Securities and Securities Financing. The candidate will assist ... is not subject to a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2) or 8a(3) of the Commodity… more
    MUFG (11/05/25)
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  • Director: Review Officer, Corporates…

    S&P Global (New York, NY)
    …we drive innovation and power global markets. S&P Global has a Securities Disclosure and Trading Policy ("the Policy") that seeks to mitigate conflicts ... of interest by monitoring and placing restrictions on personal securities holding and trading. The Policy is designed to...candidates at S&P Global may be asked to disclose securities holdings. Some roles may include a trading prohibition… more
    S&P Global (11/05/25)
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