- Scotiabank (New York, NY)
- …debt and equity financing, mergers & acquisitions, corporate banking, institutional equity sales , trading and research, fixed income products, ... negotiating documentation, guiding more junior staff, and the monitoring of Borrower compliance and industry trends. **What You'll Do** + Champion a customer-focused… more
- Scotiabank (New York, NY)
- …debt and equity financing, mergers & acquisitions, corporate banking, institutional equity sales , trading and research, fixed income products, ... business strategies and objectives. Ensures all activities conducted are in compliance with governing regulations, internal policies and procedures. What You'll Do:… more
- Scotiabank (New York, NY)
- …debt and equity financing, mergers & acquisitions, corporate banking, institutional equity sales , trading and research, fixed income products, ... including IP protections, cybersecurity, data privacy, artificial intelligence and regulatory compliance in the context of financial services. + Supports various… more
- Wells Fargo (New York, NY)
- …servicing; investment banking; equity ; and fixed income solutions including sales , trading , and research capabilities to corporate, commercial real estate, ... 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
- Mizuho Corporate Bank (New York, NY)
- …and investment banking, capital markets, equity and fixed income sales & trading , derivatives, FX, custody and research. Visit www.mizuhoamericas.com. ... the annual review plan by conducting independent credit reviews to ensure compliance with Bank policies and procedures as well as adherence with regulatory… more
- Scotiabank (Houston, TX)
- …debt and equity financing, mergers & acquisitions, corporate banking, institutional equity sales , trading and research, fixed income products, ... business strategies and objectives. Ensure all activities conducted are in compliance with governing regulations, internal policies and procedures. **What You'll… more
- Scotiabank (New York, NY)
- …debt and equity financing, mergers & acquisitions, corporate banking, institutional equity sales , trading and research, fixed income products, ... as well as a good knowledge of the Bank's operational and compliance policies, practices, and procedures. Industry standards and infrastructure rules and regulations… more
- Mizuho Corporate Bank (New York, NY)
- …and investment banking, capital markets, equity and fixed income sales & trading , derivatives, FX, custody and research. Visit www.mizuhoamericas.com. ... The Compliance function manages compliance and regulatory risk by establishing compliance policies, providing training, conducting compliance reviews,… more
- Mizuho Corporate Bank (New York, NY)
- …and investment banking, capital markets, equity and fixed income sales & trading , derivatives, FX, custody and research. Visit www.mizuhoamericas.com. ... in all efforts related to business continuity and audits. Compliance + Obtain a basic understanding of the applicable...regulations should be directed to the Americas Legal and Compliance Department. Attend Annual Compliance Training presented… more
- Scotiabank (Houston, TX)
- …debt and equity financing, mergers & acquisitions, corporate banking, institutional equity sales , trading and research, fixed income products, ... committees. + Support and maintain US Records Inventory supporting the Bank's compliance with the applicable regulatory requirements + **Regulatory and Controls** +… more