- TD Bank (New York, NY)
- …and regulators, as needed, and effective check and challenge. Reporting to the Head of Surveillance Initiatives and Portfolio Management, the new hire will be ... manage their regulatory risk. **Key Responsibilities:** + Reporting: With the Head of Surveillance Initiatives and Portfolio Management and key stakeholders: assist… more
- TD Bank (New York, NY)
- …York, New York, United States of America **Hours:** 40 **Line of Business:** TD Securities **Pay Detail:** $225,000 - $225,000 USD TD is committed to providing fair ... positions. The position liaises closely with the Bank's other operations in Canada, Europe, and the US to assist...Communicates bank policy information and strategy between the product head and relevant trading personnel + Fully informed on… more
- TD Bank (New York, NY)
- …and execution of the annual Compliance Test Plan. + Work closely with the Head of Compliance Monitoring and Testing and the other Compliance Testing Leads to ensure ... + JD desirable but not required. + Knowledge of operations , finance, regulatory reporting, sales and trading, and applicable...essential functions for ADA purposes. **Who We Are** TD Securities offers a wide range of capital markets products… more
- Janus Henderson Investors (New York, NY)
- …align with your own, we would love to hear from you! Your opportunity The Head of Whole Loan Operations and Transaction Management will oversee and manage the ... oversee due diligence activities, servicing transfers, loan document transfers, and operations between internal teams, vendors, servicers, and custodians. + Ensure… more
- Citigroup (Houston, TX)
- …abilities who has successfully managed high performing teams. **Job Family Group:** Operations - Transaction Services **Job Family:** Securities and Derivatives ... transactions originating from trading desks and branch offices in coordination with the Operations - Transaction Services team. The overall objective of this role is… more
- Tradeweb (New York, NY)
- …Action Employer. \ https://www.dol.gov/ofccp/regs/compliance/posters/pdf/eeopost.pdf **Group Details** As the Head of Data Management at Tradeweb, you will play ... Tradeweb. For this role, we are looking for a Head of Data Management with a strong financial background...on sensitive data such as customer and financial data ( securities ). + Provide leadership and guidance to the data… more
- Capital One (New York, NY)
- Head of Product, Commercial Bank Capital Markets **Capital Markets | Head of Product | Senior Director** The Capital Markets Group is a high growth business ... equity and structured products) and customer derivatives. As the Head of Product for Capital Markets you will be...on your comprehensive understanding of our client, capital markets operations , and sound risk management practices. + Work closely… more
- MUFG (New York, NY)
- …day. A member of our recruitment team will provide more details. **Job Summary** Head of GIS Governance & System Management responsible for providing the GIS team ... management and business needs. **Major Responsibilities** This function will report to the head of GIS Strategic Projects & Architecture and will work with Senior… more
- TD Bank (Boston, MA)
- …for this role. **Line of Business:** TD Wealth **Job Description:** The Head of Wealth Remediation is responsible for expanding and managing regulatory oversight ... compliance and regulatory issues (OCC, SEC, FINRA, and State Securities Regulators) + In-depth knowledge of OCC, RIA and...Regulators) + In-depth knowledge of OCC, RIA and B/D Operations , investment products, trust + Must be able 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