- Raymond James Financial, Inc. (New York, NY)
- …topologies, and technologies. + Principles of banking and finance and securities industry operations. **Skill in:** + Using technical/professional knowledge and ... interpersonal skills to obtain others' commitment to ideas, services, or products. + Strong project and time management skills. + Business and product development, strategic planning, direct client interaction and communication, training and staff development,… more
- Janus Henderson Investors (New York, NY)
- …of our Investment Advisory Code of Ethics related to personal securities activities and other disclosure and certification requirements, including past political ... contributions and political activities. Applicants' past political contributions or activity may impact applicants' eligibility for this position. You will be expected to understand the regulatory obligations of the firm, and abide by the regulated entity… more
- Citigroup (Getzville, NY)
- …services, including consumer banking and credit, corporate and investment banking, securities brokerage, transaction services, and wealth management. As a bank with ... a brain and a soul, Citi creates economic value that is systemically responsible and in our clients' best interests. As a financial institution that touches every region of the world and every sector that shapes your daily life, our Enterprise Operations &… more
- MUFG (New York, NY)
- …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 ... Exchange Act, and (b) they do not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA). The major responsibilities listed above are the material job duties of this… more
- Wells Fargo (New York, NY)
- …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 ... that Associated Persons should not be subject to statutory disqualification. Successful candidates must also meet ongoing regulatory requirements including additional screening and are required to report certain incidents. Wells Fargo only considers candidates… more
- Citigroup (New York, NY)
- …including corporate and emerging market bonds, asset-backed and mortgage-backed securities , collateralized loan obligations, short term interest rate products, ... loans, letters of credit and derivative instruments. The team also provides underwriting, secondary trading, securitization, project financing, warehouse lending, commercial, residential and affordable housing financing. Citi Velocity is an award-winning,… more
- Citigroup (Getzville, NY)
- …Buffalo, NY. **Responsibilities:** + Prepare, analyze, and facilitate reports to the Securities and Exchange Commission (SEC) based on US GAAP and SEC requirements ... and guidelines + Various SEC disclosures and analytics (eg, Income Statement, Derivatives, Variable Interest Entities, Financial Close, RegInsight initiatives, new and emerging SEC disclosures, etc.) + Manage activities, including review of accounting… more
- Citigroup (Getzville, NY)
- …such as Non-centrally Cleared Bilateral Repo Data to OFR, Short Interest, Covered Securities Loan transactions, and Portfolio Margining to FINRA, and FR 2004 to the ... Federal Reserve. + Maintain and develop regulatory knowledge to serve as a subject matter expert and central point of contact for operations regulatory advice and interact with regulators as needed to provide information and responses. + Participate in bank… more
- M&T Bank (Buffalo, NY)
- …strategic management of the valuation and risk management of the bank's securities and derivatives arising from balance sheet hedging, customer back-to-back business ... + Complete other related duties as assigned **Scope of Responsibilities:** The securities and derivatives portfolios are a significant component of the Bank's… 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...within Global Risk Management is looking for a risk analyst responsible for independent risk oversight of the firm's… more