- 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...revenue production by serving as the primary liaison between operations and internal departments, promptly responding to all client… more
- TD Bank (New York, NY)
- …FCRM Compliance Officer **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...maintain the TDS US FCRM program. + Advise TDS Operations and other 1st line support functions on interpretation… more
- S&P Global (New York, NY)
- …key technical initiative within our organization, directly impacting both internal operations and client-facing products. You will lead multiple engineering teams ... 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
- Bank of America (New York, NY)
- …trading, and syndicate personnel. + Ongoing advice in connection with the day-to-day operations of the department on a wide variety of legal issues. Knowledge of ... the US securities laws, broker-dealer regulations, and banking regulations impacting the...and public-private interactions. + Experience with primary offerings and Securities Act issues helpful as is knowledge of processes… 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
- Insight Global (New York, NY)
- …teams. This individual will be responsible for control and support functions of the operations initiated by the Treasury and Repo Front Office in New York, from the ... The role will be to facilitate and ensure all operations are processed in a timely manner, which includes...from a trading floor - Strong understanding of repos, securities lending, total return swaps/rates (TRS) - Product knowledge… more
- SitusAMC (New York, NY)
- …and clients, and by geography. Their businesses include consumer banking and payments operations around the world, as well as a top-tier, full service, global ... all of which are supported by our service company which provides technology, operations , and functional services across the Group. **About Global Risk** The Global… more
- Citigroup (Getzville, NY)
- Asset Servicing is a Markets Operations group represented globally across the NAM, EMEA and APAC regions. The Asset Servicing department is responsible for ... trading desks, Stock Lending, Repo, and SWAPS for Equity and Fixed Income securities . This position will primarily focus on processing activities for the NAM… 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
- 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