- 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
- Wells Fargo (New York, NY)
- …as serve institutional investor needs + Identify opportunities to mitigate legal , regulatory, reputational, and financial risks + Establish new and differentiated ... advisor to leadership **Required Qualifications:** + 5+ years of Securities Sales experience, or equivalent demonstrated through one or...subject to compliance with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article… more
- Fifth Third Bank, NA (New York, NY)
- …activity including origination, structuring, and execution of large, complex loan and securities transactions. Perform all underwriting and work with Credit on all ... oral and written + Strong working experience with credit rating agencies and legal teams used in ABS financings and underwritings + Strong understanding of… more
- AIG (New York, NY)
- …Assets of over $95 billion a comprised primarily of fixed maturity securities and includes private equity, hedge funds, commercial/residential loans and equity ... securities . In addition, AIG's derivative portfolio consists primarily of...reporting and various government regulatory reports). AIG has multiple legal entities around the globe. The team is also… more
- 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
- TD Bank (New York, NY)
- …by partnering with US Wealth Senior Leadership Team, Federated Partners (Compliance, Legal ), and AMCB Consumer Bank teams to ensure that all regulatory, compliance, ... compliance and regulatory issues (OCC, SEC, FINRA, and State Securities Regulators) + In-depth knowledge of OCC, RIA and...and is subject to the requirements of FINRA and Securities Laws. May (or may not) be a registered… more
- Neuberger Berman (New York, NY)
- …for overseeing client portfolios. This pivotal role ensures compliance with legal and regulatory standards, monitors investment performance, and evaluates portfolio ... accounts + Working closely with investment teams to periodically review securities excluded from approved lists, securities presenting potential conflicts… more
- 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
- Tradeweb (New York, NY)
- …particularly focused on sensitive data such as customer and financial data ( securities ). + Provide leadership and guidance to the data management team, fostering ... not required). + Knowledge of Fixed Income and Equity securities across a broad array of markets. + Familiarity...Benefit Programs** + Pre-Tax Commuter Benefits Program + ARAG Legal Services + Employee Assistance Program + Tuition Reimbursement… more
- Citigroup (New York, NY)
- …+ Coordinate with Sales, Research, CMand and other organizations across Markets and Securities Services and the broader business + Trade a book and deliver on ... Work in close partnership with control functions such as Legal , Compliance, Market and Credit Risk, Audit, Finance to...and the Plan of Supervision for Global Markets and Securities Services + Adhere to all policies and procedures… more