- HSBC (Buffalo, NY)
- …diverse team of global professionals. As our Audit Manager, Regulatory Compliance, Conduct and Legal (RCCL) Audit you will: + Support the US RCCL Audit team in ... to represent US RCCL Audit team on matters related to Regulatory Compliance and Legal risk frameworks, Data Analytics etc + Assist, support, or lead a team of… more
- Mizuho Corporate Bank (New York, NY)
- …of further efficiency / improvement. Qualifications/Skills: + 10+ years banking & securities products experience including KYC, Regulatory, Legal , and Credit ... they are fulfilled per Mizuho's KYC, Regulatory, Credit, and Legal processes in a timely and accurate manner. Major...require most support. + Partner and advise with CSG, Legal , and Credit as they execute their respective processes,… more
- Citigroup (New York, NY)
- **Job Purpose:** To provide legal advisory support to the Rates and Markets Treasury businesses within Markets business. **Job Background/context:** The Markets ... Legal Department is a global team organized around product...to have a good knowledge of structured derivatives and securities financing transactions including relevant regulations which may be… more
- NBC Universal (New York, NY)
- …and in-house legal department. + Strong technical expertise in corporate legal matters and related practice areas including securities and disclosure, ... transactions and real estate, as well as assisting with securities and corporate governance matters. You will serve as...You will serve as a key strategic partner providing legal advice and transactional support to our procurement, finance… more
- Citigroup (New York, NY)
- …internal stakeholders including Front Office Sales and Trading Desks, Compliance, Legal , Finance and HR; alongside having significant interaction with our external ... Derivatives, and ensure clearance, settlement and investigation of these securities and derivatives transactions. **Responsibilities:** + Resolve complex process… more
- Raymond James Financial, Inc. (NY)
- …skills obtained through education, experience, specialized training and/or certification in securities or banking industry compliance to administer and manage an ... for Marketing and Corporate Functions Compliance, including Advertising Supervision, Legal , Human Resources, and Office Services to ensure compliance process… 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
- ManpowerGroup (New York, NY)
- …will use your data analysis and research skills to provide valuable insights to our legal team about potential new cases and you will also provide support to the ... on our active cases.** **Responsibilities:** + **Calculate losses in securities actions for clients and public holders of ...securities actions for clients and public holders of securities ** + **Assist with research and analysis of … 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
- Raymond James Financial, Inc. (NY)
- …vendors. + Conducts complex research and reports findings to Compliance, Legal , Regional Supervision, and Regional Management partners. + Consults with other ... and Abilities** **Advanced Knowledge of:** + Concepts, practices, and procedures of securities industry and/or banking compliance reviews. + Rules and regulations of… more
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