- S&P Global (Boulder, CO)
- …corporate loans. **Responsibilities and Impact** : + Conduct detailed reviews of legal and operating documents to ensure compliance with criteria and identify issues ... innovation and power global markets. S&P Global has a Securities Disclosure and Trading Policy ("the Policy") that seeks...of interest by monitoring and placing restrictions on personal securities holding and trading. The Policy is designed to… more
- Raymond James Financial, Inc. (Pittsburgh, PA)
- …of the** **Position:** The Private Bank Credit Production Manager manages securities -backed line of credit (SBLOC) and insurance-backed line of credit (IBLOC) ... monitoring group in analyzing service requests + When required, reviews legal and borrower-provided documentation for accuracy and completeness + May assist… more
- TD Bank (New York, NY)
- …FCRM Compliance Officer **Reports to:** Director, Financial Crime Risk Oversight, TD Securities , US **Position Summary** The US FCRM TDS Business Oversight team ... supports TD Securities in developing, implementing, and maintaining a robust financial...guidance on regulatory compliance, close partnership with business and legal , and operationalizing requirements and regulations for the Wholesale… more
- MUFG (New York, NY)
- …In-scope businesses include Government Bonds, Interest Rate Derivatives, Mortgages, Asset-backed Securities and Securities Financing. The candidate will assist ... and controls are appropriately documented and managed, working with compliance and legal to develop solutions to ensure regulatory compliance + Responsible for… 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
- Columbia Bank (Denver, CO)
- …Together for business. Together for better. **About the Role:** The Trust Securities Operations Supervisor, within the Asset Valuation Team, is responsible for ... related work experience required. + Minimum 2 years of experience in a securities operations or securities processing environmentrequired. + Minimum 2 years of… more
- USAA (San Antonio, TX)
- …with Health, Life or Retirement Income. + Fulfills the responsibilities of a securities principal as appropriate: In conjunction and coordination with Securities ... with potential risks that could harm employees and members. + Partners with Legal , Risk and Compliance on interpretation of CMS (Center for Medicare and Medicaid… more
- S&P Global (Englewood, CO)
- …results, and present findings in a timely manner in committees + Review legal and operating documents to ensure consistency with criteria and identify issues with ... innovation and power global markets. S&P Global has a Securities Disclosure and Trading Policy ("the Policy") that seeks...of interest by monitoring and placing restrictions on personal securities holding and trading. The Policy is designed to… more
- JPMorgan Chase (Jersey City, NJ)
- …conservatively invests the firm's excess liquidity, generally by investing in high quality securities that are managed for the longer-term as part of the Firm's ... investment securities portfolio. **Role Description** The TCIO Global External Reporting...initiatives, working directly with various stakeholders including business management, legal and risk functions **The essential skills required for… more
- TD Bank (New York, NY)
- …York, New York, United States of America **Hours:** 40 **Line of Business:** TD Securities **Pay Detail:** $150,000 - $215,000 USD TD is committed to providing fair ... more specific details for this role. **Job Description:** Preferred Qualifications: TD Securities provides a wide range of capital market products and services to… more