- 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
- Raymond James Financial, Inc. (New York, NY)
- …develop tactical plans for FCM-related enterprise client and corporate securities review initiatives. Completes assignments with substantial latitude for autonomous ... and procedures, tailored to sanctions investigations of clients, transactions and securities reviews, while in alignment with our corporate policies and standards.… more
- TD Bank (New York, NY)
- …York, New York, United States of America **Hours:** 40 **Line of Business:** TD Securities **Pay Detail:** $115,000 - $135,000 USD TD is committed to providing fair ... this role. **Job Description:** Preferred Qualifications: Short Term Assignment The TD Securities US Regulatory Management & Remediation team is responsible for the… more
- SMBC (New York, 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
- TD Bank (New York, NY)
- …provide you more specific details for this role. **Job Description:** TD Securities Compliance team is seeking a Director-level candidate to lead the Surveillance ... Surveillance Compliance professionals engages with key stakeholders across TD Securities (TDS), including Markets Sales and Trading leaders, Technology, Advisory… more
- TD Bank (New York, NY)
- …for this role. **Job Description:** Preferred Qualifications **Department Overview** TD Securities ("TDS") Technology supports a wide range of capital market ... and overseeing the delivery of Cash movement technology solutions within TD Securities Corporate Banking businesses. The ideal candidate will have a strong… more
- 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
- TD Bank (New York, NY)
- …York, New York, United States of America **Hours:** 40 **Line of Business:** TD Securities **Pay Detail:** $150,000 - $215,000 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'...with a One Team mindset **Who We Are** TD Securities offers a wide range of capital markets products… more
- Warner Bros. Discovery (New York, NY)
- …for the company. This role will oversee all corporate governance, securities compliance, public company reporting, and board operations, while also advising ... investor relations, corporate communications, CSR, and legal. Your Role Accountabilities ** Securities Compliance & SEC Reporting** + Ensure compliance with all SEC… more
- 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