- TD Bank (New York, NY)
- …more specific details for this role. **Job Description:** Preferred Qualifications: TD Securities ' (TDS) Governance & Control (G&C) team partners with the TDS ... G&C leads, and Risk and Control Partners such as Compliance and Risk Management; and + Foster an environment...managing multiple deadlines and priorities **Who We Are** TD Securities offers a wide range of capital markets products… more
- Citigroup (New York, NY)
- …to clients based on client profiling and suitability assessments + Make securities recommendations and provide investment advice to clients through a select number ... Manage client follow-up and adhere to all Regulatory and Compliance operating procedures + Ensure strict adherence to KYC/AML...goal-oriented team player able to work without direction + Securities Industry Essentials - SIE, Active Series 7, 66… 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 ... Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets, Inc., SMBC MANUBANK,...CCR function and build a comprehensive CCR framework in compliance with SR 11-10 and BCBS CCR guidelines. The… 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
- Citigroup (New York, NY)
- …+ Coordinate with Sales, Research, CMand and other organizations across Markets and Securities Services and the broader business + Trade a book and deliver on ... in close partnership with control functions such as Legal, Compliance , Market and Credit Risk, Audit, Finance to ensure...and the Plan of Supervision for Global Markets and Securities Services + Adhere to all policies and procedures… more
- TD Bank (New York, NY)
- …Wealth (US) and TD's investment in TD Ameritrade + **Wholesale Banking** including TD Securities TD had CDN$1.3 trillion in assets on October 31, 2018. TD also ranks ... planning, evaluating, recommending, designing, operationalizing, and supporting solutions in compliance with enterprise and industry standards. + Ability to plan,… 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
- Citigroup (New York, NY)
- …+ Coordinate with Sales, Research, CM and other organizations across Markets and Securities Services and the broader business + Trade a book and deliver on ... in close partnership with control functions such as Legal, Compliance , Market and Credit Risk, Audit, Finance in order...and the Plan of Supervision for Global Markets and Securities Services + Adhere to all policies and procedures… 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