- 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
- S&P Global (New York, NY)
- …a particular emphasis on collaboration with 2nd line functions, including Risk, Compliance , and Internal Controls. The Senior Director will partner closely with ... management, including regular engagement with 2nd line functions (eg, Risk, Compliance , Legal) to ensure alignment, support regulatory obligations, and embed… more
- S&P Global (New York, NY)
- …ensuring that we consistently meet the highest standards of performance and compliance . **The Role** Reporting to the Head of In-Business Control Ratings Services, ... and internal policies. This role will work closely with Analytic teams, Compliance (2nd Line), Internal Audit (3rd Line), Rating Operations, Editorial and other… more
- Wells Fargo (New York, NY)
- …successful completion and clearing of a background check. Internal transfers are subject to compliance with 17 CFR 240.17f-2 of the Securities Exchange Act of ... Fargo is seeking a Front Office Equities Quant - Vice President (Lead Securities Quantitative Analytics Specialist) in Corporate & Investment Banking as part of… more
- Wells Fargo (New York, NY)
- …successful completion and clearing of a background check. Internal transfers are subject to compliance with 17 CFR 240.17f-2 of the Securities Exchange Act of ... in public and private equity, M&A, loan and high yield and convertible securities transactions. + The position requires a high level of initiative and the… more
- JPMorgan Chase (Pittsford, NY)
- …+ Monitor and analyze active account and book reviews to ensure compliance and optimize client investment strategies. + Ensure team members understand their ... communicating changes to the team. + Develop expertise in securities rules and regulations through research and training. +...24, and 53), 66 (or 63/65) FINRA licenses, ensuring compliance with industry standards. + Valid and active Life,… more
- Wells Fargo (New York, NY)
- …successful completion and clearing of a background check. Internal transfers are subject to compliance with 17 CFR 240.17f-2 of the Securities Exchange Act of ... Fargo is seeking a CIB Quantitative Strategist - Vice President (Lead Securities Quantitative Analytics Specialist) in Corporate & Investment Banking. Learn more… more
- Wells Fargo (New York, NY)
- …successful completion and clearing of a background check. Internal transfers are subject to compliance with 17 CFR 240.17f-2 of the Securities Exchange Act of ... is seeking a Front Office Equities Quant - Executive Director (Senior Lead Securities Quantitative Analytics Specialist) in Corporate & Investment Banking as part of… more
- S&P Global (New York, NY)
- …ensuring that we consistently meet the highest standards of performance and compliance . **The Role** Reporting to Head of Vendor Management, you will play ... Level Agreements. + Oversee the Affiliate Risk Assessment, including the Vendor Compliance Controls Assessment and implement solutions to any issues identified. +… more
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