- JPMorgan Chase (New York, NY)
- …impacting the Securities Services business and our clients. As the Regulatory Practice Americas Manager for Securities Services , you will ... for our clients. Be part of the dynamic Global Regulatory Practice team (with locations across Europe,...product and control partners. + Anticipate client demand for regulatory service solutions and adapt products/ services… more
- TD Bank (New York, NY)
- …specific details for this role. **Job Description:** The role will be part of TD Securities Business Regulatory Initiatives (BRI) team which plays a lead role in ... to regulation and good practice principles for all jurisdictions in which TD Securities operates. BRI is a first line (1A) team which reports into the Business.… more
- TD Bank (New York, NY)
- …tailored to resolving issues with consideration to regulatory requirements, regulatory and firm risk and industry best practice . **Responsibilities:** + ... integration of a complex global equity platform into TD Securities (USA) LLC and into the overall Compliance Framework....Advise business areas on firm policies and procedures, regulatory requirements and industry best practice . +… more
- TD Bank (New York, NY)
- …will be tailored to resolving issues with consideration to regulatory requirements, regulatory and firm risk and industry best practice . In addition, this ... + Advise business areas on firm policies and procedures, regulatory requirements and industry best practice . +...such as Title 12. + Strong knowledge of applicable securities laws, rules and regulations with the ability to… more
- Citigroup (New York, NY)
- …Security Agency Trading business through the negotiation of the Master Securities Forward Transaction Agreement. Applicants should have experience in GSE Agency ... securities transactions and the negotiation of Master ...industry standards, widely accepted business practices, laws, rules, and regulatory guidelines, escalating as appropriate + Collaborates across internal… more
- SMBC (New York, NY)
- …with a 400-year history, SMBC Group offers a diverse range of financial services , including banking, leasing, securities , credit cards, and consumer finance. The ... benefits to its employees. **Role Description** The Compliance group within SMBC Nikko Securities Inc. serves as a regulatory advisory function to the President… more
- TD Bank (New York, NY)
- …be tailored to resolving issues with consideration to regulatory requirements, regulatory and firm risk and industry best practice . **Key Responsibilities** ... focus on providing real-time compliance advice to the TD Securities (USA) LLC Research group, Strategist teams and others...+ Advise business areas on firm policies and procedures, regulatory requirements and industry best practice . +… more
- The Brattle Group (New York, NY)
- …for our clients. **TYPICAL CASES IN SECURITIES (CORPORATE FINANCE)** In the Securities practice , you will work on cases such as: + **Valuation:** Creating ... New York City, NY. office and primarily support our Bankruptcy and Restructuring practice . **ABOUT THE BRATTLE GROUP AND ECONOMIC CONSULTING** The Brattle Group is a… more
- JPMorgan Chase (New York, NY)
- …and external legal colleagues as well as regulators, including the US Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA) ... at a law firm, regulator, and/or financial institution advising on broker-dealer regulatory issues, cash equity trading issues and securities transactions +… more
- TD Bank (New York, NY)
- …York, New York, United States of America **Hours:** 40 **Line of Business:** TD Securities **Pay Detail:** $190,000 - $225,000 USD TD is committed to providing fair ... institution. + Excellent interpersonal, organizational, and leadership skills. + Client service skills - the candidate must demonstrate the judgment and ability… more