- 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
- 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
- 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
- Atria Wealth Solutions (King, NC)
- …our appreciation for the opportunity to serve you. + Completion of all required compliance training to include BSA. + Meet or exceed established service goals. + ... and employee and customer referral programs, etc. + Keep all securities , insurance and licensing current through successful completion of Continuing Education… 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 ... details for this role. **Job Description:** TD Cowen, a division of TD Securities , is looking for an Equity Research Associate to join its Healthcare, Biotechnology… 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...holding and trading. The Policy is designed to promote compliance with global regulations. In some Divisions, pursuant to… 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...holding and trading. The Policy is designed to promote compliance with global regulations. In some Divisions, pursuant to… 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...holding and trading. The Policy is designed to promote compliance with global regulations. In some Divisions, pursuant to… more
- PennyMac (Westlake Village, CA)
- …responsible for financial reporting projects, including filings with the Securities and Exchange Commission, audited financial statements, regulatory agencies, debt ... compliance reporting and internal reporting as assigned. As the...preparation of periodic financial reports for filings with the Securities and Exchange Commission, including 10Qs, 10Ks and other… more
- Citigroup (New York, NY)
- …We are a primary dealer in market rates products including government securities across multiple jurisdictions and is a global liquidity provider across secondary ... Sales, Research, CM and other organizations across Markets and Securities Services and the broader business + Trade a...in close partnership with control functions such as Legal, Compliance , Market and Credit Risk, Audit, Finance in order… more