- SMBC (New York, NY)
- …Capital Markets (DCM, Capital Solutions, ABS, CLOs), Sales and Trading (Fixed Income), Trade Finance, Structured Financing (including Subscription Financing ... clients + Knowledge of general elements of credit risk as well as legal/ compliance related to Bank and Broker Dealers + Excellent communication and presentation… more
- SMBC (New York, NY)
- …+ Daily CP issuance and liquidity management + Daily maturity limit and compliance monitoring for ABCP program + Maintain internal databases and ensure accurate ... learning. + Knowledge of securitization and ABCP conduits + Experience in a trading /issuance function + 2-3 years of experience in finance and or related industry… more
- TD Bank (New York, NY)
- …with key stakeholders across TD Securities (TDS), including Markets Sales and Trading leaders, Technology, Advisory Compliance , and Risk functions. The incumbent ... to detect anomalies in surveillance data. + Cross-Functional Leadership: Partner with Compliance , Risk, Trading , and Technology teams to optimize data workflows… more
- Scotiabank (New York, NY)
- …from the trading desk, while leveraging our firm's research and analyst recommendations + Prospect for new opportunities, to bring new clients/relationships into ... financing, mergers & acquisitions, corporate banking, institutional equity sales, trading and research, fixed income products, derivatives, energy, foreign exchange… more
- TD Bank (New York, NY)
- …engages with key stakeholders across TD Securities, including Markets sales and trading leaders, Technology, Advisory Compliance , and Risk functions. The ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $140,000 - $185,000 USD TD is...This incumbent will ensure that surveillance alerts related to trading activities of firm employees (sales and trading… more
- JPMorgan Chase (New York, NY)
- Bring your expertise to JPMorganChase. As part of Risk Management and Compliance , you are at the center of keeping JPMorganChase strong and resilient. You help the ... impact our company, customers and communities. Our culture in Risk Management and Compliance is all about thinking outside the box, challenging the status quo and… more
- S&P Global (New York, NY)
- …of interest by monitoring and placing restrictions on personal securities holding and trading . The Policy is designed to promote compliance with global ... market corporate loans. S&P Global is seeking an experienced analyst to join its Structured Finance Ratings group as...detailed reviews of legal and operating documents to ensure compliance with criteria and identify issues with the transaction… more
- S&P Global (New York, NY)
- …of interest by monitoring and placing restrictions on personal securities holding and trading . The Policy is designed to promote compliance with global ... to an offer. **What We're Looking For:** + Senior analyst with extensive track record of analytical excellence and...global markets. S&P Global has a Securities Disclosure and Trading Policy ("the Policy") that seeks to mitigate conflicts… more
- S&P Global (New York, NY)
- …of interest by monitoring and placing restrictions on personal securities holding and trading . The Policy is designed to promote compliance with global ... _._ **About S&P Global Ratings** At S&P Global Ratings, our analyst -driven credit ratings, research, and sustainable finance opinions provide critical insights… more
- S&P Global (New York, NY)
- …of interest by monitoring and placing restrictions on personal securities holding and trading . The Policy is designed to promote compliance with global ... ensuring that we consistently meet the highest standards of performance and compliance . **The Role** Reporting to the Head of In-Business Control Ratings Services,… more