- Scotiabank (New York, NY)
- …financing, mergers & acquisitions, corporate banking, institutional equity sales, trading and research, fixed income products, derivatives, energy, foreign exchange ... and contribute to the overall success of the US IS&C's governance, regulatory compliance , and risk program. This role requires a seasoned professional with a strong… more
- Wells Fargo (New York, NY)
- …markets and advisory solutions, including a full complement of sales, trading and research capabilities, to corporate, government and institutional clients. We ... including flash notes, reports, initiations, decks, models and coverage launches for compliance with FINRA rules and department policies, as well as for clarity… more
- Wells Fargo (New York, NY)
- …pivotal to the success of strategic initiatives Front Office Sales and Trading applications, and is designed for engineers who thrive in high-performance, ... in complex initiatives on selected domains + Assure quality, security and compliance for supported systems and applications + Serve as a technical resource… more
- Wells Fargo (New York, NY)
- …investment banking; equity; and fixed income solutions including sales, trading , and research capabilities to corporate, commercial real estate, government, ... accurate and timely and accurate monitoring, accurate risk ratings, covenant compliance , watchlist updates, recognition of potential problems loans of leveraged… more
- Wells Fargo (New York, NY)
- …investment banking; equity; and fixed income solutions including sales, trading , and research capabilities to corporate, commercial real estate, government, ... of a background check. Internal transfers are subject to compliance with 17 CFR 240.17f-2 of the Securities Exchange...and are required to report certain incidents. + Specific compliance policies may apply regarding outside activities or personal… more
- TD Bank (New York, NY)
- …thinking. We provide critical infrastructure services that support and control the trading , investment, and corporate banking functions of TD Securities. Within our ... Chapters 3, 4 and 61, as well as CRS compliance and FATCA/CRS client due diligence. The TDS tax...New York & Canada who work collaboratively to maintain compliance in all the regions in which TD Securities… more
- Bloomberg (New York, NY)
- Vendor Risk Manager - Chief Risk Office Location New York Business Area Legal, Compliance , and Risk Ref # 10044601 **Description & Requirements** The energy of a ... newsroom, the pace of a trading floor, the buzz of a recent tech breakthrough;...risks related to information security, privacy, resiliency, concentration, regulatory compliance , subcontracting, location / geography, among others. + Maintain… more
- Wells Fargo (New York, NY)
- …pivotal to the success of strategic initiatives Front Office Sales and Trading applications, and is designed for engineers who thrive in high-performance, ... to and support complex initiatives in selected domains.Ensure quality, security, and compliance for supported systems and applications + Serve as a technical… more
- Wells Fargo (New York, NY)
- …systems provide real time intraday risk computation and visualization for the Rates trading desk across a range of products including swaps, swaptions, bonds, bond ... platform issues of a technically challenging nature + Lead team to ensure compliance and risk management requirements for supported area are met and work with… more
- Wells Fargo (New York, NY)
- …pivotal to the success of strategic initiatives Front Office Sales and Trading applications, and is designed for engineers who thrive in high-performance, ... including CI/CD automation and cloud deployment strategies + Lead team to ensure compliance and risk management requirements for supported area are met and work with… more