- Citigroup (New York, NY)
- …programs (eg, ADRs, GDRs), including program structure, lifecycle management, regulatory compliance (eg, SEC filing requirements), and market dynamics. + Collaborate ... with internal teams (operations, legal, compliance , finance, sales, marketing) to ensure seamless service delivery...+ **SEC Regulations:** Comprehensive understanding of SEC rules (eg, Securities Act of 1933, Exchange Act of 1934) and… more
- Wells Fargo (New York, NY)
- …platform issues of a technically challenging nature + Lead team to ensure compliance and risk management requirements for supported area are met and work with ... (Coherence/Ignite) + 5+ years of experience working with derivatives and securities products in any of the following areas: technology, finance, regulatory… more
- Wells Fargo (New York, NY)
- …information security, interest rate, liquidity, market, model, operational, regulatory compliance , reputation, strategic, and technology risk. The group provides ... requirements and the executive as a Board member for Wells Fargo Securities International Limited, Wells Fargo Bank International UC and Wells Fargo International… more
- Wells Fargo (New York, NY)
- …hire date if it is not available for transfer upon hire. + Registration for Securities Industry Essentials (SIE) exam must be completed within 90 days of hire date ... be subject to statutory disqualification, in addition to regulatory and compliance requirements, including successful completion of criminal and regulatory checks… more
- TD Bank (New York, NY)
- …improvements based on risk, impact, and value. + Work with Front Office, Compliance , Surveillance, Legal, and Risk to capture voice recording requirements and ensure ... to support capture elements for voice endpoints. + Partner with surveillance, compliance , and archive teams to ensure recordings are captured, retained, and… more
- TD Bank (New York, NY)
- …organization. The WMP will partner with Senior Leaders throughout TD AMCB and TD Securities (TDS) and will represent US Wealth across all communities in the Market. ... maintain high ethical standards + Manages assigned employees in compliance with all HR policies, procedures, and guidelines of...Market share + Leads in a manner that strengthens compliance with all regulations, policies and procedures that apply… more
- Citigroup (Queens, NY)
- …+ Complete and ensure timely submission for deliverables related to BU Compliance /Risk and Control and/or Management Information Systems related report as required ... improvement opportunities + Ensure operational controls and Manager's Control Assessment compliance + Appropriately assess risk when business decisions are made,… more
- Cardinal Health (Albany, NY)
- …image. This function provides legal counsel related to commercial, corporate securities , intellectual property, labor and employment, and regulatory law, among other ... contracts are compliant. This job also reviews external communications to confirm legal compliance and liaises with a variety of Legal and other internal teams to… 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 ... strong customer relationships balanced with a strong risk mitigating and compliance -driven culture which firmly establishes those disciplines as critical to the… 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 ... strong customer relationships balanced with a strong risk mitigating and compliance -driven culture which firmly establishes those disciplines as critical to the… more