- JPMorgan Chase (Brooklyn, NY)
- Join JPMorgan's Securities Services team as a Client Solutions and Implementations Manager, where you will manage diverse client projects and deliver innovative ... Private Equity Funds, and more. You will cover all Securities Services products, from Custody to Trading Services, ensuring...report on all projects in the pipeline. + Ensure compliance with all controls and procedures. + Own project… more
- Wells Fargo (New York, NY)
- …regulatory, and compliance issues for a financial services firm on securities issues and broker-dealer matters. + Ability to analyze legal and regulatory issues ... the Legal Department to support CIB businesses and support teams on securities regulatory issues, broker-dealer matters and assessing the impact of regulatory… more
- Wells Fargo (New York, NY)
- …Equity Finance **In this role, you will:** + Lead complex initiatives to sell securities to clients + Conduct trades with broad impact, and act as key participant ... or serve as a peer mentor **Required Qualifications:** + 5+ years of Securities Sales experience, or equivalent demonstrated through one or a combination of the… more
- Citigroup (Getzville, NY)
- …Function Control & Projects role will support transformation efforts for Securities Settlements Operations Fixed Income and Equities across various trading desks ... reputation and safeguarding Citigroup, its clients, and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying… more
- TD Bank (New York, NY)
- …York, New York, United States of America **Hours:** 40 **Line of Business:** TD Securities **Pay Detail:** $150,000 - $185,000 USD TD is committed to providing fair ... can provide you more specific details for this role. **Job Description:** TD Securities Corporate and Investment Banking (CIB) provides a full range of financial… more
- Citigroup (Getzville, NY)
- The Securities & Derivatives Associate Analyst is responsible for investigating and settling compensation claims internally and externally for the EMEA and NA ... Capital Market products; primarily OTC Derivatives, Foreign Exchange and Cash Securities . Responsibilities will include handling and aiding in the timely… more
- TD Bank (New York, NY)
- …you more specific details for this role. **Line of Business:** TD Securities **Job Description:** The TD Securities , Employee Relations Director, Regulatory ... will ensure that TDS HR employee relations policies and practices are in compliance with local and international labor laws, while fostering a positive employee… more
- Citizens (New York, NY)
- …work independently and receive minimal guidance while maintaining client service and compliance standards as new wealth teams are transitioned to the firm. Primary ... and trading activities + Collaborate with other business lines including Compliance , Operations, and Sales teams + Confirm clients' understanding of transaction… more
- JPMorgan Chase (New York, NY)
- Join the Finance team that works with stakeholders across Securities Services in order to guide commercial decisions. As an Associate on the Pricing team, you will ... in Excel and PowerPoint techniques + Support audit, regulatory and compliance deliverables + Coordinate team activities and prepare materials for stakeholder… more
- Raymond James Financial, Inc. (NY)
- …Abilities** **Advanced knowledge of:** + Concepts, practices, and procedures of the securities industry, broker/dealer compliance and/or branch exams + Rules and ... and skills obtained through experience, specialized training and/or certification in securities industry to conduct onsite* branch examinations of retail brokerage… more