- Guardian Life (New York, NY)
- …for managing regulatory exams, inquiries, and investigations initiated by insurance, securities and other regulators. The Assistant General Counsel supervises three ... Counsel should have experience working in the insurance and securities regulatory environment and should have a command of...environment and should have a command of insurance and securities laws and industry issues. The Assistant General Counsel… 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
- Raymond James Financial, Inc. (New York, NY)
- …and skills obtained through experience, specialized training and/or certification in securities industry to conduct onsite* branch examinations of retail brokerage ... **Advanced knowledge of:** + Concepts, practices, and procedures of the securities industry, broker/dealer compliance and/or branch exams + Rules and regulations… more
- Bank of America (New York, NY)
- …liquidity and interest rate risks, including price risk in the CFO managed securities portfolio. As the Chief Risk Officer (CRO) function covering the Chief ... the management of Interest Rate Risk through the ALM securities portfolio, and any Price Risk created through hedging...generated positions (eg deposits and loans) as well as securities and derivatives used by the CFO organization to… 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
- MUFG (New York, NY)
- …on structured finance transactions, including those backed by insurance and insurance-linked securities . As a FIG-PMG Director, you will be a finance professional ... and managing facilities for: + Financing against insurance and insurance linked securities + Financial institution lending (including life insurance and property &… more
- 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
- Citigroup (New York, NY)
- Securities Finance encompasses the Agency Securities Lending (ASL), Directed Agent Investment Services (DAIS), and Collateral products within the Execution ... investors to enhance their portfolio returns through intrinsic value securities lending, liquidity management, and collateral optimization. Citi's key strengths… more
- TD Bank (New York, NY)
- …can provide you more specific details for this role. **Job Description:** TD Securities is seeking a highly experienced and strategic Senior Conflict Manager to join ... of potential and actual conflicts of interest across TDS Securities with a primary focus on Corporate and Investment...Mergers and Acquisitions, and other business units within TD Securities and TD Bank as needed + Oversee the… more