- TD Bank (New York, NY)
- …decisions in a fast-paced and high pressured environment. + Ability to project confidence and professionalism in dealings with senior business personnel. ... programs, policies and practices globally for Investment Banking Compliance within TD Securities (USA) LLC. + Ensure comprehensive and robust policies and procedures… more
- TD Bank (New York, NY)
- …disposition , reporting on the state of Surveillance program to the Board, senior management, and regulators, as needed, and effective check and challenge. Reporting ... and Chief Compliance Officers) to develop clear deliverables, milestone, and project plans for regulatory initiatives, new surveillance deployments, and surveillance… more
- TD Bank (New York, NY)
- …who can provide you more specific details for this role. **Job Description:** At TD Securities , the CIB Credit function is an integral part of the full suite of ... markets and banking advice and transaction executions worldwide. TD Securities offers its US based employees the advantage of...Confidence in our US operations systems stems from the recognition of our in-depth industry knowledge and from our… more
- TD Bank (New York, NY)
- …decisions in a fast-paced and high pressured environment. + Ability to project confidence and professionalism in dealings with senior business personnel. ... will support the continued integration of a complex global equity platform into TD Securities (USA) LLC and into the overall Compliance Framework. Focus will be on… more
- Bank of America (New York, NY)
- Sr . Relationship Manager -Global Commercial Bank - Middle Market - Technology Group New York, New York;Iselin, New Jersey **To proceed with your application, you ... must be at least 18 years of age.** Acknowledge (https://ghr.wd1.myworkdayjobs.com/Lateral-US/job/New-York/ Sr -Relationship- Manager --Global-Commercial-Bank Middle-Market Technology-Group\_25030928) **Job Description:** At Bank… more
- TD Bank (New York, NY)
- …decisions in a fast-paced and high pressured environment. + Ability to project confidence and professionalism in dealings with senior business personnel. ... and execute requite implementation. + Provide ongoing reporting to senior management + Develop and deliver proactive strategies and...such as Title 12. + Strong knowledge of applicable securities laws, rules and regulations with the ability to… 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
- TD Bank (New York, NY)
- …sales and trading, at a global financial institution. + Firm understanding of securities and derivatives rules and regulations, and the ability to learn new areas ... must demonstrate the judgment and ability to closely partner with and advise senior and line managers and other stakeholders on regulatory interactions. + Strong… more
- Citigroup (New York, NY)
- The Account Manager for Depositary Receipt Services is responsible for managing a portfolio of existing Depositary Receipt (DR) client relationships. This role ... markets, and best practices in client servicing. The Account Manager serves as the primary point of contact for...+ **SEC Regulations:** Comprehensive understanding of SEC rules (eg, Securities Act of 1933, Exchange Act of 1934) and… more
- TD Bank (New York, NY)
- …has enterprise wide impact or accountability. + Position deals with senior /executive management. + Key contact for business management, regulators and ... judgment and ability to closely partner with and advise senior and line managers and other stakeholders on regulatory...ability to evaluate complex regulatory business issues. + Advanced project management skills and ability to manage and direct… more