- S&P Global (Englewood, CO)
- …we drive innovation and power global markets. S&P Global has a Securities Disclosure and Trading Policy ("the Policy") that seeks to mitigate conflicts ... of interest by monitoring and placing restrictions on personal securities holding and trading. The Policy is designed to...candidates at S&P Global may be asked to disclose securities holdings. Some roles may include a trading prohibition… more
- CIBC (New York, NY)
- …Succeed** + Supervise and conduct surveillance of the US registered broker-dealer securities trading products, as well as OTC derivative/swap trading products, with ... their potential impact + Ensure that employees responsible for trading securities are appropriately registered + Participate in appropriate industry committees and… more
- S&P Global (Englewood, CO)
- …we drive innovation and power global markets. S&P Global has a Securities Disclosure and Trading Policy ("the Policy") that seeks to mitigate conflicts ... of interest by monitoring and placing restrictions on personal securities holding and trading. The Policy is designed to...candidates at S&P Global may be asked to disclose securities holdings. Some roles may include a trading prohibition… more
- S&P Global (New York, NY)
- …we drive innovation and power global markets. S&P Global has a Securities Disclosure and Trading Policy ("the Policy") that seeks to mitigate conflicts ... of interest by monitoring and placing restrictions on personal securities holding and trading. The Policy is designed to...candidates at S&P Global may be asked to disclose securities holdings. Some roles may include a trading prohibition… more
- Athene (West Des Moines, IA)
- …regulatory developments related to life insurance risk-based capital, investment accounting, securities valuation, and structured securities at the NAIC. + ... GAAP accounting, investment and capital frameworks, risk modeling, and structured securities . + Exceptional analytical, writing, and organizational skills, with the… 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
- S&P Global (Boulder, CO)
- …we drive innovation and power global markets. S&P Global has a Securities Disclosure and Trading Policy ("the Policy") that seeks to mitigate conflicts ... of interest by monitoring and placing restrictions on personal securities holding and trading. The Policy is designed to...candidates at S&P Global may be asked to disclose securities holdings. Some roles may include a trading prohibition… more
- TD Bank (New York, NY)
- …York, New York, United States of America **Hours:** 40 **Line of Business:** TD Securities **Pay Detail:** $120,000 - $190,000 USD TD is committed to providing fair ... role. **Job Description:** TD Cowen, a division of TD Securities , is looking for an Equity Research Associate to...essential functions for ADA purposes. **Who We Are** TD Securities offers a wide range of capital markets products… more
- SMBC (Charlotte, NC)
- …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
- Vanguard (Malvern, PA)
- …of choice for the next generation of investors, your expertise in securities law and ERISA will be pivotal in driving compliant, forward-thinking solutions. ... training and experience. Law degree (JD) required. + Deep technical expertise securities law required, with an emphasis on providing interpretative advice under the… more