- 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...holding and trading. The Policy is designed to promote compliance with global regulations. In some Divisions, pursuant to… more
- Charles Schwab (Westlake, TX)
- …advice. You will work directly with clients and second-line risk partners in Compliance in both ad hoc and project-based settings, providing legal advice in writing ... investment adviser, or as a staff attorney with the Securities and Exchange Commission, FINRA, or a state ...Securities and Exchange Commission, FINRA, or a state securities regulator. + Deep understanding of Investment Advisers Act,… more
- JPMorgan Chase (Columbus, OH)
- …greater efficiency + Document and maintain administrative procedures to ensure compliance + Set performance standards, monitor productivity, and hold team members ... people management + 7 years of experience in the securities or investment industry + Advanced knowledge of ...securities or investment industry + Advanced knowledge of securities industry rules, regulations, and guidelines + Strong ability… more
- Charles Schwab (Lone Tree, CO)
- …activity processed through our treasury management system for the Company's securities , borrowings, and derivatives. As part of the Corporate Controller's ... critical disclosure deliverables. The role also includes oversight of SOX compliance over investment and hedging activities, support for system implementation… more
- Citigroup (Tampa, FL)
- …responsible for project managing the onboarding of clients into the Securities Services organization. This individual must stay abreast of developments within ... firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy. Apply… more
- Federal Reserve Bank (Chicago, IL)
- …to financial institutions via FedLine(R) Solutions, Fedwire(R) Funds and Securities , the National Settlement Service (NSS), FedCash(R), FedACH(R), Check Services, ... generally prohibit employees, their spouses/domestic partners, and minor children from owning securities , such as stock, of banks or savings associations or their… more
- The Hartford (Wayne, PA)
- …and industry developments, and collaborating in the development and evaluation of compliance policies and procedures. The attorney filling this position will report ... Investment Company Act, Investment Advisers Act, and other US federal securities laws applicable to registered investment companies, private funds, and investment… more
- TD Bank (Mount Laurel, NJ)
- …specific details for this role. **Job Description:** Preferred Qualifications Think "TD Securities " if you crave meaningful work and the excitement of capital ... the latest technology to change the future of TD Securities . The impact of your work will be felt...Conduct code reviews to ensure adherence to quality, standards compliance , reusability and ease of maintenance, Operational Readiness Reviews,… more
- TD Bank (New York, NY)
- …purpose to enrich the lives of our customers, communities and colleagues.** **TD Securities offers a wide range of capital markets products and services to ... work to deliver value for our clients** **every day.** **OVERVIEW** **Within TD Securities , the Quantitative Modeling and Analytics (QMA) team is responsible for the… more
- MUFG (New York, NY)
- …outcomes, timelines and cost requirements are delivered. This includes ensuring compliance to the prescribed project delivery framework and ensuring that reporting ... risk accepted or closed within budget. Preferred: + Strong knowledge of Securities banking. + Good understanding of financial products and front-to-back processes. +… more