- JPMorgan Chase (Jersey City, NJ)
- …process efficiency, and operational excellence. As an Asset Servicing Analyst in Securities Operations within Markets Asset Services, you play a vital role in ... corporate action events that affect both client and firm securities holdings. You will collaborate with internal teams, custodians,...teams, custodians, and clients to minimize risk and ensure compliance with firm standards. In this role, you will… more
- TD Bank (New York, NY)
- …Description:** **Position Title:** Vice President - Finance **Business Unit:** TD Securities **Division/Region:** TD Securities USA (New York) **Report ... **Hours:** M - F 8:30 - 5:00 Overview TD Securities US Finance is a part of the wider...+ Manage Governance related tasks/mandate and work closely with Compliance and 1B business partners to understand and satisfy… more
- JPMorgan Chase (New York, NY)
- …solutions for complex financings and securitizations involving asset-backed securities , residential mortgage-backed securities and commercial mortgage-backed ... other lawyers across JPMorgan's legal department, as well as compliance , risk, conflicts and operations partners. If you are...on all relevant legal and regulatory matters and relevant securities laws applicable to public and private offerings of… more
- MUFG (Irving, TX)
- …lists; reducing false positives, optimizing AML/sanctions processes, and ensuring regulatory compliance . Applying data analysis using SQL or python to produce ... Managing and executing Below the Line (BTL) activities for HotScan, ensuring compliance with regulatory standards. Generating statistical reports using SQL on the… more
- MUFG (Irving, TX)
- …team is seeking a Vice President to serve as a Financial Crimes Compliance Technology Manager. This role will support the Americas team in overseeing Transaction ... oversight of Transaction Monitoring applications and related projects to ensure compliance with US regulations and internal technical standards. + Support issue… more
- JPMorgan Chase (Jersey City, NJ)
- Bring your expertise to JPMorgan Chase. As part of Risk Management and Compliance , you are at the center of keeping JPMorgan Chase 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
- Fifth Third Bank, NA (Cincinnati, OH)
- …Adhere to internal department procedures and deadlines tonsure regulatory compliance and exemplary client service. Exceed established departmental service levels. ... issues and answering questions. + Serve as control point person in performing compliance requirements. + Train/Mentor new team members in all aspects of Global… more
- Thrivent Financial (Minneapolis, MN)
- …agency securities , and collateralized repurchase agreements. + Ensures continuous compliance with SEC Rule 2(a)7 and internal risk management guidelines. + ... accounts and portfolios. The role owns portfolio construction, risk management, and compliance with SEC Rule 2(a)7 and internal risk guidelines. Job Responsibilities… more
- Fifth Third Bank, NA (Cincinnati, OH)
- …and other lines of business, including but not limited to Middle Office, Compliance , IT, Trading, Accounting; Fifth Third Securities ' Broker Dealer, National ... Sales & Trading departments. Under minimal supervision, assist Fifth Third Securities Institutional Brokerage teams, Middle Office, Fixed Income Traders, Equity… more
- Vanguard (Malvern, PA)
- …The Head of Brokerage Trade Operations is responsible for leading Margin, Securities Lending, and Asset Servicing for Vanguard's retail broker-dealer. This role ... oversees the operational effectiveness, risk management, and regulatory compliance of mission critical brokerage operations, while also supporting client segments… more