- Raymond James Financial, Inc. (New York, NY)
- …ensuring adherence to SEC, FINRA, FRB Bank Holding Company, and state securities regulations. + Engage with senior business leaders, providing compliance guidance to ... decision-making and operational risk management. + Maintain expertise in securities underwriting, private placements, syndicate matters, Reg M, and electronic… 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
- Citigroup (Queens, NY)
- …end validation of models in the context of Mortgage models, Mortgage Backed Securities (MBS) and those models related to hedging strategies to ensure their accuracy ... assess risk when business decisions are made, demonstrating Mortgage Backed Securities particular consideration for the firm's reputation and safeguarding Citigroup,… 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
- 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)
- …can provide you more specific details for this role. **Job Description:** TD Securities Compliance team is seeking a Surveillance Quality Assurance Manager to assist ... Surveillance Compliance professionals engages with key stakeholders across TD Securities , including Markets sales and trading leaders, Technology, Advisory… more
- Fluent (New York, NY)
- …management + Advise on and oversee policies and procedures relating to securities law compliance and disclosure matters, including the administration of the Insider ... facility + Advise on executive compensation programs with a view to securities law compliance + Prepare, review and negotiate contracts with various third-party… more
- Citigroup (New York, NY)
- …portfolio consisting of Issued Debt, Intercompany Borrowings & Placements, AFS/HTM Securities , and Derivatives. CTI is responsible for managing central liquidity and ... notes, credit card securitizations and perform liability management for all capital securities issued through Citigroup and CBNA. The CTI Business Execution team… more
- Bloomberg (New York, NY)
- …worlds. We provide intuitive and easily discoverable universe creation of securities , help clients execute complex relative valuations across those universes, and ... provide insight to how securities compare with each other and their own history over time. We do all of this using our large scale data stores and distributed… more
- TD Bank (New York, NY)
- …who can provide you more specific details for this role. **Job Description:** TD Securities is a market leader in Capital Markets and Corporate & Investment Banking, ... Investment Banking Team based in New York, NY** as part of TD Securities ' 2026 Investment Banking Full-Time Analyst Program. Analysts can expect a fast-paced,… more