- MUFG (New York, NY)
- …models, financial statements, customer financial information, project contracts, and legal analyses + Review information about project assets, development plans, ... compliance and execution, including KYC, profitability analysis, committee approvals, legal due diligence, and closing checklists **Requirements:** + A Bachelor's… more
- Edward Jones (Port Jefferson, NY)
- …Advisor?** + Build meaningful relationships with clients with an understanding of legal and regulatory requirements related to selling financial solutions + Critical ... assigned study period + At least 3-5 years of relevant experience in securities industry preferred + FINRA licenses required within three months. State insurance… more
- JPMorgan Chase (New York, NY)
- …across the Firm + Review and respond to intercompany funding requests + Analyze legal entity balance sheets to evaluate need for changes in the funding profile + ... and collateral management processes + Oversee and direct pledge of CIO NA securities to various internal counterparties + Participate in firm relationships with the… more
- Edward Jones (Greene, NY)
- …About Job Overview **Skills/Requirements** **Skills:** + Ability to learn and apply legal and regulatory requirements related to selling financial solutions + Work ... required; Bachelor's degree preferred + 3-5 years of relevant experience in securities /financial services industry preferred + Series 7 and Series 66 required; if… more
- Citigroup (New York, NY)
- …technology professionals + Work in close partnership with control functions such as Legal , Compliance, Market and Credit Risk, Audit, Finance in order to ensure ... to Citi's Code of Conduct and the Plan of Supervision for Global Markets and Securities Services; and ensure that all team members understand the need to do the same… more
- TD Bank (New York, NY)
- …teams across disciplines such as operations, technology, design, marketing, legal , compliance, risk, and relevant departments + Provides subject matter ... FINRA member, broker and/or dealer and is subject to the requirements of FINRA and Securities Laws. May (or may not) be a registered position under FINRA. + Must be… more
- JPMorgan Chase (New York, NY)
- …offer customized client solutions. + Collaborate with functional partners across Legal , Compliance, Finance, Technology, and Operations to design products that are ... management domain. + Understanding of international markets from a payments, FX, securities , custody and treasury perspective. + Experience working in a fast-paced,… more
- JPMorgan Chase (New York, NY)
- …including Internal Audit, Operational Risk, and other Control functions, as well as Legal and Business Management. In this role, you will leverage your knowledge and ... IPOs, follow-on/secondaries, block trades, buybacks, private placements, and convertible securities offerings and corporate derivative structures. + Act as… more
- Citigroup (New York, NY)
- …trades and deals. + Work in close partnership with control functions such as Legal , Compliance, Market and Credit Risk, Audit, and Finance in order to ensure ... Code of Conduct and the Plan of Supervision for Global Markets and Securities Services. + Appropriately assess risk when business decisions are made, demonstrating… more
- MUFG (New York, NY)
- …, **delegation of authority forms** , and cross-entity assignments and liaise with legal and compliance team + Produce predefined desk **KPI reports** periodically + ... 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