- Wells Fargo (New York, NY)
- …with various cross-functional areas including COO, CAO, HR, Finance, Strategy, Legal , Compliance etc. + Lead strategic planning of headcount and staffing ... check. Internal transfers are subject to compliance with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which… more
- Citizens (Tarrytown, NY)
- …Wealth Leadership team members. Wealth will support the individual taking the Securities Industry Essentials (SIE) exam if desired (not mandatory) and following ... checks. Results of the background check are individually reviewed based upon legal requirements imposed by our regulators and with consideration of the nature… more
- Citigroup (New York, NY)
- …client's demand + Work in close partnership with control functions such as Legal , Compliance, Market and Credit Risk, Audit, Finance in order to ensure appropriate ... 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
- HSBC (New York, NY)
- …+ The primary focus of this role is repo and financing of US Treasury securities as well as corporate bonds. However, because the team size is smaller, the candidate ... Markets Treasury, Asset and Liability Capital Management, Risk, Operations, Finance, Legal , Technology and all other Functions to understand the financial resources… more
- JPMorgan Chase (New York, NY)
- …& Investment Bank (CIB) is a global leader across banking, markets, securities services and payments. Corporations, governments and institutions throughout the world ... Measure impact and effectiveness, preparing presentations of findings. + Collaborate with Legal and Compliance teams globally to ensure approvals are in place before… more
- Citigroup (New York, NY)
- …to client meetings** **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… more
- DuPont (Buffalo, NY)
- …+ Willingness to be on-call for plant area support when required. + Legal right to work in the United States without any employment restrictions. **Reliability ... and effectiveness of Form 10 registration statements with the US Securities and Exchange Commission, applicable regulatory approvals, and satisfactory completion of… more
- Scotiabank (New York, NY)
- …information and risk profiles related to IT functions supporting US legal entities and subsidiaries. Ensure regulatory alignment, reporting consistency, and ... Bank of New York, New York Dept. of Financial Services (NYDFS), Securities &Exchange Commission (SEC), Commodities Future Trading Commission (CFTC), National Futures… more
- MUFG (New York, NY)
- …and JCB Credit Operating Manual, evaluating the borrower's industry / business / legal / financial risks and recommending extensions of credit to management. + Basic ... 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
- MUFG (New York, NY)
- …and financial markets + Knowledge of credit and risk principles and legal and compliance regulations pertinent to lending. + Strong financial spreading/modeling and ... 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