- Citigroup (New York, NY)
- …close partnership with Sales team, Product, Technology teams, Risk & Control team, Legal , Compliance & Audit in order to ensure appropriate governance and compliance ... 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
- TEKsystems (New York, NY)
- …of this business Collaborate with the Operations, Market and Credit Risk, Legal , Front Office, Technology and Project teams Prepare risk dashboards and analysis ... Counterparty Risk, or Prime Brokerage Risk. + Strong understanding of derivatives, securities , risk pricing, VaR, and stress testing. + Advanced Excel skills… 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)
- …role will also lead first-line engagement and activities with Compliance and Legal with respect to Office of Supervisory Jurisdiction (OSJ) Administration, FINRA ... 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
- Bank of America (New York, NY)
- …and work directly with client management teams. + Interact directly with clients, legal counsel, product teams, and senior bankers to tailor M&A advisory. + ... reference the job title of the role and requisition number. **EMPLOYER:** BofA Securities , Inc. **Shift:** 1st shift (United States of America) **Hours Per Week:**… more
- HSBC (New York, NY)
- …to within the Corporate and Institutional Banking (CIB) business. The Markets and Securities Services (MSS), Non-Financial Risk (NFR) team is a function that sits ... members), risk stewards' / control groups (eg Regulatory and Financial Crime Compliance, Legal , Traded Risk, Product Control) and our global product risk team in the… more
- Bloomberg (New York, NY)
- …of the financial data ecosystem. Entity data uniquely identifies and defines legal and operating entities such as public and private companies, government bodies, ... powers a wide range of financial applications-from mapping issuers to securities and understanding corporate hierarchies, to identifying exposure to private market… more
- JPMorgan Chase (New York, NY)
- …conservatively invest the Firm's excess liquidity through a ~$300 billion investment securities portfolio. Treasury's core mandate is to manage the Firm's funding ... BMs collaboration with other functional groups (Middle Office, Risk, Control Management, Legal , Compliance, Tech, and more) as it relates to regulatory and control… more
- Nuveen Investments (New York, NY)
- …that has a cycle-tested track record of managing CLOs and investing in CLO securities . Responsibilities will cover a wide range of tasks, from liaising with clients ... events. + Liaising with internal partners: Partnering with technology, compliance, legal , operations, portfolio management, trading, and other internal partners to… more
- MUFG (New York, NY)
- …syndicate, sales and trading teams and with third parties such as legal counsel, accountants, rating agencies and investors to execute transactions + Participate ... 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