- 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
- S&P Global (New York, NY)
- …corporate loans. **Responsibilities and Impact** : + Conduct detailed reviews of legal and operating documents to ensure compliance with criteria and identify issues ... innovation and power global markets. S&P Global has a Securities Disclosure and Trading Policy ("the Policy") that seeks...of interest by monitoring and placing restrictions on personal securities holding and trading. The Policy is designed to… more
- Citigroup (New York, NY)
- …We are a primary dealer in market rates products including government securities across multiple jurisdictions and is a global liquidity provider across secondary ... Sales, Research, CM and other organizations across Markets and Securities Services and the broader business + Trade a...Work in close partnership with control functions such as Legal , Compliance, Market and Credit Risk, Audit, Finance in… more
- Aflac (New York, NY)
- …Working knowledge of the Investment Advisers Act of 1940, Investment Company Act of 1940, Securities Act of 1933 and Securities Exchange Act of 1934 and their ... advisory staff along with internal departments such as Operations, Risk, Legal , Information Technology, Finance, Human Resources, and Data Management in the… more
- Citizens (Rochester, NY)
- Description If you're passionate about a career in Wealth Management, Citizens Securities , Inc. is hiring for the Investment Assistant II role. Citizens ... Securities , Inc. is a high-quality investment services provider, focused...of the background check are individually reviewed based upon legal requirements imposed by our regulators and with consideration… more
- S&P Global (New York, NY)
- …and synthesize results in a timely manner for rating committees. + Review legal and operating documents to ensure compliance with criteria and identify issues with ... innovation and power global markets. S&P Global has a Securities Disclosure and Trading Policy ("the Policy") that seeks...of interest by monitoring and placing restrictions on personal securities holding and trading. The Policy is designed to… more
- TD Bank (New York, NY)
- …relevant control functions regarding (i) public and private offerings of equity and debt securities . + Assist in the development and build out of a global Investment ... law firm will be considered. + Experience in providing legal , regulatory or compliance advice to Markets sales and...Banking and Capital Markets + Strong knowledge of applicable securities laws, rules and regulations with the ability to… more
- Raymond James Financial, Inc. (New York, NY)
- …ensuring adherence to SEC, FINRA, FRB Bank Holding Company, and state securities regulations. + Engage with senior business leaders, providing compliance guidance to ... decision-making and operational risk management. + Maintain expertise in securities underwriting, private placements, syndicate matters, Reg M, and electronic… more
- Robert Half Legal (White Plains, NY)
- …firm that focuses on high-profile cases in the financial services, healthcare, and securities fields. We are seeking an experienced Paralegal to support our growth. ... actions and multidistrict litigation, in the areas of healthcare, antitrust, securities , consumer protection, commodities, data breach, privacy law and large-scale… 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