- HSBC (New York, NY)
- …This position is in the Regulatory Compliance department covering the Markets & Securities Services division of HSBC (US) and will play a crucial role in ... Compliance Officer is responsible for making commercial decisions while considering regulatory compliance risks/obligations and working to ensure that the business… more
- Edward Jones (Westfield, NJ)
- …degree is strongly preferred or equivalent work-related experience within the securities /financial services industry Financial services and/or sales ... As a financial advisor with Edward Jones, you'll develop and grow your own practice , supported by your branch team, a home-office team and other regional financial… more
- 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)
- …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
- JPMorgan Chase (Jersey City, NJ)
- …being built out as part of a strategic reengineering effort supporting the Securities Services businesses within the JPMorgan Chase Commercial & Investment Bank. ... include Business Expertise spanning Buy-side and Sell-side perspectives on Securities & Derivatives Products and Functional & Information Architecture experience… 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
- JPMorgan Chase (New York, NY)
- …+ Advise the Securitized Products businesses on all relevant legal and regulatory matters and relevant securities laws applicable to public and ... innovative solutions for complex financings and securitizations involving asset-backed securities , residential mortgage-backed securities and commercial mortgage-backed… more
- Bank of America (New York, NY)
- Direct Markets Coverage Brokerage Services Financial Advisor New York, New York **To proceed with your application, you must be at least 18 years of age.** ... must be at least 18 years of age.** Acknowledge (https://ghr.wd1.myworkdayjobs.com/Lateral-US/job/New-York/Brokerage- Services -Financial-Advisor\_25035237) **Job Description:** Merrill Wealth Management is a leading… more
- JPMorgan Chase (New York, NY)
- …presentation and stakeholder management abilities. + Knowledge of financial products, services , and regulatory requirements. + Experience in coaching Advisors ... RISKS, INCLUDING POSSIBLE LOSS OF THE PRINCIPAL AMOUNT INVESTED Investment products and services are offered through JP Morgan Securities LLC (JPMS), a… more
