- Wells Fargo (New York, NY)
- …highly challenging regulatory environment. **Required Qualifications:** + 7+ years of Securities Sales Trading experience, or equivalent demonstrated through one or ... check. Internal transfers are subject to compliance with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which… more
- Wells Fargo (New York, NY)
- …Real Estate Securitization and Capital Markets ("RESCM") group within Wells Fargo Securities , LLC ("WFS") is the product group responsible for the structuring and ... check. Internal transfers are subject to comply with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states… more
- MUFG (New York, NY)
- …will rotate across two of the following groups within the MUFG Securities Americas, Inc. (MUSA) Finance Department: 1. Capital Planning, 2. Regulatory Reporting, ... 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
- 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
- Bloomberg (New York, NY)
- …Arrangement) one each for UK and EU. We support the SFTR ( Securities Financing Transactions Regulation) regulation and connect to other internal systems for ... and maintains a suite of libraries needed to enrich reference data for securities retrieved from sources. We develop solutions for reporting to various regulations… more
- TD Bank (New York, NY)
- …more specific details for this role. **Job Description:** **Department Overview** TD Securities ("TDS") delivers a broad range of Corporate, Investment Banking, and ... & duties are considered essential functions for ADA purposes. **Who We Are** TD Securities offers a wide range of capital markets products and services to corporate,… 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
- JPMorgan Chase (New York, NY)
- …agreements and project deadlines. + 4 years of relevant experience in the financial securities /investment industry. + FINRA Series 7 and one or more of the following ... and Skills:** + Bachelor's Degree preferred. + Advanced knowledge of securities industry rules, regulations, and guidelines. + Experience with Python, Alteryx,… 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
- 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