- 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...holding and trading. The Policy is designed to promote compliance with global regulations. In some Divisions, pursuant to… more
- TD Bank (New York, NY)
- …York, New York, United States of America **Hours:** 40 **Line of Business:** TD Securities **Pay Detail:** $145,000 - $190,000 USD TD is committed to providing fair ... delivery of projects impacting the Global Transaction Banking (GTB) business of TD Securities (TDS). Projects in this space will be in support of various… more
- TD Bank (New York, NY)
- …York, New York, United States of America **Hours:** 40 **Line of Business:** TD Securities **Pay Detail:** $120,000 - $190,000 USD TD is committed to providing fair ... details for this role. **Job Description:** TD Cowen, a division of TD Securities , is looking for an Equity Research Associate to join its Healthcare, Biotechnology… more
- Bank of America (New York, NY)
- …institutional products and services, advise on corporate, commercial, intellectual property, securities and banking law matters relating to the equities platform, ... as well as retaining and indexing negotiation-related documents. + Along with Compliance , providing guidance on the interpretation and implementation of laws, rules… 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...holding and trading. The Policy is designed to promote compliance with global regulations. In some Divisions, pursuant to… 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...holding and trading. The Policy is designed to promote compliance with global regulations. In some Divisions, pursuant to… 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...holding and trading. The Policy is designed to promote compliance with global regulations. In some Divisions, pursuant to… more
- Neuberger Berman (New York, NY)
- …proposals ("RFPs"), client questionnaires and institutional marketing materials + Advising on securities and loan trading issues + Working closely with the Legal and ... Compliance Department globally as well as other control functions...Advisers Act of 1940, Investment Company Act of 1940, Securities Act of 1933, Securities Exchange Act… more
- HSBC (New York, NY)
- …clients, hedge funds, and asset managers, offering solutions across equity finance, securities lending, and delta one products. This role demands a deep ... Single stock and index futures - ETF products - Securities lending and borrowing (SLB) + Work closely with...risk. + Necessary licensing: SIE, 7 & 63 In compliance with applicable laws, HSBC is committed to employing… 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