- TD Bank (New York, NY)
- …York, New York, United States of America **Hours:** 40 **Line of Business:** TD Securities **Pay Detail:** $175,000 - $225,000 USD TD is committed to providing fair ... & Agreement Structuring** - Lead deal negotiations, balancing commercial, operational, and compliance considerations. - Partner with Legal, Risk, and Compliance … more
- TD Bank (New York, NY)
- …New York, United States of America **Hours:** 40 **Line of Business:** TD Securities **Pay Detail:** - TD is committed to providing fair and equitable compensation ... escalate issues where appropriate + Ensure business operations are in compliance with applicable internal and external requirements (eg financial controls,… more
- JPMorgan Chase (New York, NY)
- As a Client Service Manager (CSM) in Securities Services, you will join the client service team and have an assigned book of clients. You will have ultimate ... with JP Morgan. You will also manage billing accuracy and ensure compliance with company policies. **Job responsibilities:** + Lead in-person meetings with your… more
- TD Bank (New York, NY)
- …York, New York, United States of America **Hours:** 40 **Line of Business:** TD Securities **Pay Detail:** $225,000 - $225,000 USD TD is committed to providing fair ... firm's procedures + Understands and complies with TD Policies, regulatory and compliance requirements + Ensures that transactions are fully documented and processed… more
- JPMorgan Chase (New York, NY)
- As a Client Service Manager (CSM) in Securities Services, you will join the client service team and support a book of clients. You will work closely with the VP to ... and work with internal stakeholders. + Ensure personal and client compliance with all company Policies and Procedures. **Required qualifications, capabilities, and… more
- Wells Fargo (New York, NY)
- …including **WIM** referral activity. **About this role:** Wells Fargo is seeking a Securities Based Lending Risk Management Lead Working at Wells Fargo | Jobs and ... years of risk management, business controls, quality assurance, business operations, compliance , or process experience, or equivalent demonstrated through one or a… more
- Mizuho Corporate Bank (New York, NY)
- …businesses, products, and functions including banking and underwriting businesses, securities markets, legal, compliance , risk management, operations, treasury, ... law degree highly preferred*Minimum of 10 years of experience in regulatory compliance , legal and regulatory framework and rulemaking process applicable to US… more
- TD Bank (New York, NY)
- …you will play a crucial role in the next phases of the Securities -Based Lending platform evolution. You will be primarily responsible for partnering with business ... patterns, APIs, ETL and other related technology. + Experience managing regulatory compliance programs. + In-depth knowledge of JIRA and Confluence and experience… more
- Citigroup (Getzville, NY)
- …firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying ... **Job Family Group:** Operations - Transaction Services **Job Family:** Securities and Derivatives Processing **Time Type:** Full time **Primary Location:**… more
- JPMorgan Chase (Brooklyn, NY)
- JP Morgan Alternative Fund Services ("AFS") is part of the Securities Services business group in the Corporate & Investment Bank and is one of the largest fund and ... functions and internal stakeholders including risk and control groups, audit, compliance , implementation, investor relations and operations + Ensure adherence to… more