- 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)
- …and enhance mathematical models to automatically price and trade Spread Product securities . Analyze financial time series data and other data source to extract ... Work in close partnership with control functions such as Legal , Compliance, Market and Credit Risk, Audit, Finance in...and the Plan of Supervision for Global Markets and Securities Services; and ensure that all team members understand… more
- SMBC (White Plains, 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
- AIG (New York, NY)
- …and manage risks through AIG operations and network partners. Our Global Legal , Compliance and Regulatory (GLCR) team provides first class advice to colleagues ... The team has a multi-dimensional impact, from helping avoid legal exposure to collaborating with other functions to develop...hold docket for the litigation group. + Manage the securities and antitrust class action litigation docket for AIG,… more
- Cardinal Health (Albany, NY)
- … legal counsel related to mergers and acquisitions, corporate securities , and transactional support, among other areas. **_Qualifications_** + Juris Doctorate ... role and will be part of Cardinal Health's corporate legal team focusing on real estate transactions. This role...estate transactions. This role will be responsible for providing legal advice, counsel and support to Cardinal Health's Corporate… more
- Wells Fargo (New York, NY)
- …Sponsored Repo annex, the Cleared Derivative Execution Agreement and the Master Securities Forward Transaction Agreement with a focus on investment managers and ... processes and systems. + Interpret policy when working with legal , credit and the relevant business. + Identify and...the relevant business. + Identify and mitigate business and legal risks within compliance requirements. + Identify and recommend… more
- Neuberger Berman (New York, NY)
- …- Private Wealth will play an integral role within Neuberger Berman's Legal & Compliance Department, specifically with respect to the Private Wealth business. ... The ideal candidate will have experience in private wealth legal and compliance issues, possess excellent organizational skills and strong written and oral… more
- Santander US (New York, NY)
- …and regulatory risk by resolving issues and ensuring adherence to company and legal standards. Responsible for ensuring that all of the company's activities adhere ... necessary rules and regulations, and that the company complies with legal /regulatory statutes and jurisdictions. USA Job Function Description: Monitors activities to… more
- Citizens (New York, NY)
- Description Citizens JMP Securities , LLC, a wholly owned subsidiary of Citizens Financial Group, is a FINRA-registered institutional broker-dealer with approximately ... Human Resources for associated persons and report findings to appropriate supervisors, Legal , and Human Resources + Partner with Citizens Financial Group's Human… more
- CS Energy (Albany, NY)
- …strong understanding of construction laws and risk management strategies to mitigate legal and operational risks. Essential Duties and Responsibilities + Monitor and ... compliance risks and regulatory violations, including potential fines, penalties, and legal fees, and provide recommendations for strategies to mitigate these risks… more