- 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
- 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
- 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
- MUFG (New York, NY)
- …and Corruption) * Experience with the financial industry and related markets, related regulatory bodies and/or Big 4 professional services firms * Prior ... or OFAC, regulations); fraud; Core-Compliance (privacy, etc.); government and industry regulatory and policy-making agencies (eg, Financial Industry Regulatory … more
- Deloitte (New York, NY)
- …now or in the future + Strong working knowledge of a range of financial services and / or securities -related business models, products, and services ... - Capital Markets Operations and Technology Our Enterprise Operations & Risk practice empowers leading Capital Markets institutions to growth and gain a decisive… 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
- 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 ... in Asia, the Group offers a range of commercial and investment banking services to its corporate, institutional, and municipal clients. It connects a diverse client… more
- Ankura (New York, NY)
- …accountants, including many former audit firm partners, standard-setters, and other regulatory officials from the PCAOB, SEC, and Financial Accounting Standards ... into the regulators' perspectives to assist clients in understanding and responding to regulatory inquiries. We assist clients in navigating the complexities of the … more
- Ankura (New York, NY)
- Ankura is a team of excellence founded on innovation and growth. Practice Overview: Ankura's large team of long-time licensing officers and former regulators has ... extensive collective experience obtaining and maintaining thousands of regulatory licenses for Fintech companies in areas like money transmission, cryptocurrency,… more
- BMO Financial Group (New York, NY)
- …Activities. + Participate in various stakeholder forums (Project Delivery/ Technology/ Regulatory / Risk) in support of FICC Trade Support Activities. + Compile ... processes and internal approvals to mitigate risk to the Bank + Understand regulatory and compliance requirements as prescribed for the business unit to ensure… more
- Wellington (New York, NY)
- …rapidly developing wealth space. Key responsibilities will include: + Advising on regulatory issues relevant to our US client-facing business, including SEC, CFTC, ... and disclosure rules + Assisting in drafting and negotiating distribution and service agreements with intermediaries + Advising on matters related to US distribution… more
- TD Bank (New York, NY)
- …York, New York, United States of America **Hours:** 40 **Line of Business:** TD Securities **Pay Detail:** $175,000 - $225,000 USD TD is committed to providing fair ... seeking Associates to join our Enterprise Software Investment Banking practice in New York and San Francisco. The day-to-day...economic information and key industry developments as well as regulatory standards at all times to assist in maximizing… more
- BMO Financial Group (New York, NY)
- …JD) and license to practice law in relevant jurisdiction. + Private practice , in-house experience or experience at regulatory body relating to the regulation ... and/or leveraged finance transactions. + Familiarity or prior experience with the federal securities laws. + Knowledge of business and regulatory environment in… more
- MUFG (New York, NY)
- …audit or risk management experience and/or equivalent experience with the financial services industry, related markets, and related regulatory agencies. + ... within industry best practices, applicable regulations, and internal and external professional practice expectations. + Act as a leader and role model and… more
- MUFG (New York, NY)
- …in law school or in-house at a public corporation, law firm, or financial services regulatory agency. + Understanding of, and experience in, analyzing and ... and guidance. + Structure, negotiate and draft a variety of software-as-a- service , software licensing, hardware procurement, professional services , and IT… more
- Edward Jones (New York, NY)
- …succeed. A branch office administrator to help you run your branch. World-class products, services and support. And the stability of a firm built on a long-term ... deliver tailored solutions to meet your clients' unique and complex needs. Building your practice your way - with 100% support from us. **Job Overview** As a… more
