- MUFG (New York, NY)
- …with front-office, credit risk management, legal and regulatory teams to ensure compliance with industry standards and regulatory guidelines + Report and present ... 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… more
- Raymond James Financial, Inc. (New York, NY)
- …essential risk context. . Reports risk-related data including risk exposure, compliance to risk policies, and effectiveness of current risk management strategies ... provide advice on such documentation negotiation from the credit perspective . Securities /Private Client and Asset Management products and an understanding of the… more
- Citigroup (New York, NY)
- …wider Citi Wealth lending growth aspirations. Ensuring effective and consistent compliance to control standards + Managing expectations through strong communication ... loans secured by a variety of asset classes including complex marketable securities loans and less liquid financial assets, commercial real estate to more… more
- Aflac (New York, NY)
- …of Data Governance GI Business Partners: GI Front Office, Investment Compliance , GI Data Management (Japan), Investment Accounting, Tax, Treasury, Trade Operations ... Loans, Real Estate Debt, Structured Private Credit, CLOs, Asset Backed Securities , etc), Private Equity, and Derivatives with demonstrated experience to support… more
- Janus Henderson Investors (New York, NY)
- …operations between internal teams, vendors, servicers, and custodians. + Ensure compliance with transaction terms through effective management of bailee letters, ... of our Investment Advisory Code of Ethics related to personal securities activities and other disclosure and certification requirements, including past political… more
- Janus Henderson Investors (New York, NY)
- …and regulatory changes to inform and adjust trading strategies. + Regulatory Compliance : Ensure adherence to relevant industry regulations and company policies. + ... of our Investment Advisory Code of Ethics related to personal securities activities and other disclosure and certification requirements, including past political… more
- Janus Henderson Investors (New York, NY)
- …reclaiming excess margin + Tracking fund financials, expenses, and reimbursements Compliance + SEC filings and audited financial statements + Developing written ... of our Investment Advisory Code of Ethics related to personal securities activities and other disclosure and certification requirements, including past political… more
- TD Bank (New York, NY)
- …(eg, Basel, CCAR, FRTB), and financial close processes. . Ensure compliance with evolving global regulations and accounting standards (IFRS, GAAP). **People ... and emerging financial regulations (eg, BCBS239, FRTB, Dodd-Frank). **Who We Are** TD Securities offers a wide range of capital markets products and services to… more
- Neuberger Berman (New York, NY)
- …degree with 1-3 years of work experience in Private Credit, Asset Back Securities , Structured Finance, or on the buy-side + Strong analytical and problem-solving ... + Experience in managing loan portfolios, including monitoring performance and compliance with covenants + Experience with both subscription line and asset-backed… more
- Citigroup (New York, NY)
- …with other products in Investor Services ie Fund Administration, FX & Agency Securities lending to provide seamless integration of Global Custody offering with these ... firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying… more