- Citigroup (New York, NY)
- …and enhance mathematical models to automatically price and trade Spread Product securities . Analyze financial time series data and other data source to extract ... with various functions, such as Business, Technology, Risk, and Compliance to ensure an efficient and safe automated market...and the Plan of Supervision for Global Markets and Securities Services; and ensure that all team members understand… more
- Citigroup (Arlington Heights, IL)
- …to clients based on client profiling and suitability assessments + Make securities recommendations and provide investment advice to clients through a select number ... Manage client follow-up and adhere to all Regulatory and Compliance operating procedures + Ensure that KYC/AML and other...goal-oriented team player able to work without direction + Securities Industry Essentials - SIE - Active Series 7,… more
- Citigroup (Jacksonville, FL)
- …customer relationships by maximizing sales and service opportunities. + Make securities recommendations and provide investment advice to clients through a select ... Manage client follow-up and adhere to all Regulatory and Compliance operating procedures + Ensure that KYC/AML and other...goal-oriented team player able to work without direction + Securities Industry Essentials - SIE - Active Series 7,… more
- TD Bank (New York, NY)
- …more specific details for this role. **Job Description:** Preferred Qualifications: TD Securities ' (TDS) Governance & Control (G&C) team partners with the TDS ... G&C leads, and Risk and Control Partners such as Compliance and Risk Management; and + Foster an environment...managing multiple deadlines and priorities **Who We Are** TD Securities offers a wide range of capital markets products… more
- Commerce Bank (Kansas City, MO)
- …for the team attaining financial objectives, effective coaching/leadership of members, and compliance . In addition, the team leader will be charged with the ... establishment of investment objective, asset allocation, selection of specific securities , investment performance reporting, and client service. (Key relationships… 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
- 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
- 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
- Bank of America (New York, NY)
- …parameters (swap rates, spreads, cap/floor and swaption vols, exchange-traded securities across different currencies) to ensure accurate derivatives portfolio ... valuation validation, develop Fair Value Hierarchy Classification, and ensure compliance with valuation uncertainty controls. + Implement Python-based automated… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …structures, offering terms, trading and operations, along with legal and compliance programs. The Director retains latitude for unreviewed decision making and ... the firms' control environments. * Analyze asset managers' adherence to internal compliance policies and regulatory requirements. * Create and execute an annual… more