- Citigroup (New York, NY)
- …firm's reputation and safeguarding Citi, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying ... sound ethical judgment regarding personal behavior, conduct and business practices, and escalating, managing and reporting control issues with transparency. **Qualifications:** + 5+ years of related experience + Expertise in providing investment advice and… more
- MUFG (New York, NY)
- …and/or operational risk management, (includes operations, operational risk management, compliance , audit, and third-party risk management within technology and or ... information security), or a combination thereof + Deep understanding of financial institution processes, products, and risk + Strong understanding of governance and oversight best practices, ideally with experience implementing and/or managing governance… more
- TD Bank (New York, NY)
- …Support internal initiatives related to documentation, process automation, and regulatory compliance . **Education & Experience:** + JD required, New York Bar ... Admission preferred + 6-8 years of experience (either at a law firm or a dealer) + Strong North American prime brokerage negotiation experience, together with experience negotiating term commitment agreements and custody agreements. + Solid experience… more
- Robert Half Finance & Accounting (Rochester, NY)
- …financial reports to guide strategic decision-making. * Manage and review tax compliance , optimizing tax strategies in accordance with local, state, and federal ... laws. * Oversee liquidity management and manage banking relationships to maintain financial stability. * Maintain relationships with financial institutions and manage credit facilities and banking agreements. * Establish and oversee financial policies and… more
- Raymond James Financial, Inc. (New York, NY)
- …Trading Systems, Smart Order Routers, and CSA management. + Regulations and Compliance . + TCA and Data Analytics, network concepts, topologies, and technologies. + ... Principles of banking and finance and securities industry operations. **Skill in:** + Using technical/professional knowledge and interpersonal skills to obtain others' commitment to ideas, services, or products. + Strong project and time management skills. +… more
- NBC Universal (New York, NY)
- …and corporate governance matters, including '33 Act and '34 Act compliance , preparation of board meeting agendas/materials, maintenance of corporate documents and ... records, managing the annual D&O questionnaire process and supporting with the annual investor engagement program. Qualifications + JD from an accredited US law school. Admission to and in good standing with the state bar of at least one US state. + 8+ years… more
- MUFG (New York, NY)
- …timely fashion + On-board clients in coordination with the firm's credit, legal, compliance , and operations teams + Mentor and train junior talent **Requirements** : ... + Bachelor's degree or higher, MBA and/or CFA a plus + A minimum of 5 to 10+ years of related Securitized Sales work experience + Excellent interpersonal and communication skills + Results driven, with a strong sense of accountability + Strong decision making… more
- The Estee Lauder Companies (New York, NY)
- …joint business planning. + Ensure "best⁃in⁃class" training and practices for compliance and corporate governance (FCPA, Crisis Management, GIS, etc.). Build required ... public affairs, regulatory and consumer care capabilities. + Drive Integrated Business Planning (IBP) process and own the Affiliate forecasts with complete and accurate sales drivers provided. Develop subcategory plans and robust sales plans, collaborate with… more
- Citigroup (New York, NY)
- …firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying ... sound ethical judgment regarding personal behavior, conduct and business practices, and escalating, managing and reporting control issues with transparency. + Focus on achieving/exceeding key operating standards within a KPI/metrics driven culture… more
- MUFG (New York, NY)
- …ability to liaise across multiple functions including trading, risk, finance, compliance , and operations. **Key Responsibilities:** * Support the primary business ... management partners to the trading desk leads across Rates, Credit, Securities Financing, Structured Solutions and Equities. * Assist with strategic and operational initiatives including budgeting, headcount planning, control enhancement, resource allocation,… more