- US Bank (New York, NY)
- …excellent advice and guidance to clients and colleagues on a variety of legal matters. They build trusting relationships that allow the business to make ... Law Division is seeking an attorney to join its Legal Regulatory Group (LRG) to provide legal ...on federal and state statutes and regulations, focused on securities laws and the activities of broker-dealers and registered… more
- Fluent (New York, NY)
- …corporate governance. In this dynamic role, you'll work closely with the Finance and Legal & Compliance teams on strategic transactions and a wide range of legal ... and ensuring compliance with policies and charter documents + Provide legal support for general corporate matters, including public relations, investor relations,… more
- M&T Bank (Buffalo, NY)
- …strategic management of the valuation and risk management of the bank's securities and derivatives arising from balance sheet hedging, customer back-to-back business ... met + Work with multiple stakeholders across Treasury, Compliance, Finance, Legal , Operations, Secondary Mortgage, Audit, Risk to achieve business unit objectives… 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 ... Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets, Inc., SMBC MANUBANK,...filing of Form ADV, etc.). + Liaise with external legal counselors to provide ongoing advice in relation to… more
- TD Bank (New York, NY)
- …Reporting & Governance **Reports to:** Director, Financial Crime Risk Oversight, TD Securities , US **Position Summary** The US FCRM TDS Business Oversight team ... supports TD Securities in developing, implementing, and maintaining a robust financial...guidance on regulatory compliance, close partnership with business and legal , and operationalizing requirements and regulations for the Wholesale… more
- Neuberger Berman (New York, NY)
- …Attorney to provide advice and support on a broad variety of legal , regulatory and general corporate matters for its institutional asset management business. ... client questionnaires and institutional marketing materials + Advising on securities and loan trading issues + Working closely with...and loan trading issues + Working closely with the Legal and Compliance Department globally as well as other… more
- Raymond James Financial, Inc. (NY)
- …speaking at seminars designed to train and educate professional tax and legal advisors, current and prospective clients, and Financial Advisors. + Prepares sales ... personal meetings with the client the Financial Advisor and the client's professional legal and tax advisors. + Supplies technical estate tax and estate planning… more
- City of New York (New York, NY)
- …Governance: - Assist in legal matters relating to the issuance of municipal securities by the City and the Bond Financing Entities. - Aid in drafting primary ... counsel to the Mayor's Office of Management and Budget ("OMB"), providing wide-ranging legal advice and representation on a variety of topics. Topics include, but… 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 ... Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets, Inc., SMBC MANUBANK,...our HR Business Partner function as well as to Legal Department with regards to all matters of employee… 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
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