• Head of Securities Operations

    SMBC (New York, NY)
    …an aggressive growth strategy inclusive of striving to attain primary dealer status. Securities Operations within Nikko America is responsible for the timely and ... Securities and processes. In addition to building out the Nikko Securities Operations team to support this growth agenda the individual will also be required… more
    SMBC (06/19/24)
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  • Securities Services Operations

    JPMorgan Chase (Brooklyn, NY)
    …in markets around the world. **Job Description** As a Vice President in the Securities Services Operations Finance Management team, you will play a key role ... in managing the financials and headcount for Custody Operations . You will work closely with the Head of Custody Operations and their leadership team, as well… more
    JPMorgan Chase (06/14/24)
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  • Vice President, US TD Securities Treasury

    TD Bank (New York, NY)
    …Location** : United States of America **Hours:** 40 **Line of Business:** TD Securities **Pay Detail:** $150,000 - $200,000 USD TD is committed to providing fair ... TDS Treasury is part of Global Markets in TD Securities , and manages the dealer's liquidity, funding and non-trading...positions. The position liaises closely with the Bank's other operations in Canada, Europe, and the US to assist… more
    TD Bank (07/30/24)
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  • Executive Director, Head of Functions…

    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 ... Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets, Inc., SMBC Rail...portfolio of benefits to its employees. **Job Summary** The Head of Functions Control Officer is a leader, change… more
    SMBC (06/22/24)
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  • Head of Compliance Control Inventory

    SMBC (Jersey City, NJ)
    …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 (08/03/24)
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  • Global Head of Product Innovation, S&P…

    S&P Global (New York, NY)
    …**Grade Level (for internal use):** 14 **Responsibilities and Impact:** Reporting to the Head of Global Commercial Strategy, Product & Operations , the successful ... + Create high levels of communication between Product / Operations / Analytical R&D and other key stakeholder teams,...for greater opportunity for all. S&P Global has a Securities Disclosure and Trading Policy ("the Policy") that seeks… more
    S&P Global (07/06/24)
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  • FID Business Controls Unit (BCU) - Head

    Morgan Stanley (New York, NY)
    …financial services firm providing a wide range of investment banking, securities , investment management and wealth management services. The Firm's employees serve ... Commodities. Professionals in the Division assess and actively manage risk, trade securities , and structure as well as execute innovative transactions in the… more
    Morgan Stanley (07/24/24)
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  • Head of Employee Compliance - Director

    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 Rail Services LLC, Manufacturers… more
    SMBC (08/08/24)
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  • Director, Global AML Corporate Banking Compliance…

    Citigroup (New York, NY)
    …derivatives, structured products, and strategic advisory services. The Corporate Banking AML Head is a leadership position in Citi's Banking AML team, who manages ... Client AML Risk across the Corporate Banking business. The Corporate Banking AML Head will act as the primary liaison, collaborating across all three lines of… more
    Citigroup (07/26/24)
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  • Global Financial Crimes: Head of Client…

    Morgan Stanley (New York, NY)
    …a check and challenge over the first line's execution of enhanced due diligence. As the Head of the Client Risk Unit in GFC, you will: * Plan, coordinate, and track ... leading working groups with GFC, business unit, First Line Financial Crimes, Operations , and Technology representation * Coordinate with regional GFC Client Risk… more
    Morgan Stanley (06/25/24)
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  • Fixed Income - Head of CRE Asset Management…

    Morgan Stanley (New York, NY)
    …financial services firm providing a wide range of investment banking, securities , investment management and wealth management services. The Firm's employees serve ... in the operating model by collaborating with internal groups such as Credit, Operations , Strats and IT - Gather industry and company data, and create meaningful… more
    Morgan Stanley (08/13/24)
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  • Cyber Risk Head for Services

    Citigroup (Jersey City, NJ)
    …services, including consumer banking and credit, corporate and investment banking, securities brokerage, transaction services, and wealth management. As a bank with ... region of the world and every sector that shapes your daily life, our Enterprise Operations & Technology teams are charged with a mission that rivals any large tech… more
    Citigroup (08/08/24)
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  • Vice President, Americas Division…

    SMBC (New York, NY)
    …of Functions Control Officer with an indirect reporting line into the Americas Division Operations Head of Business Administration. The AD Ops FCO is responsible ... a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has...of benefits to its employees. **Job Summary** The AD Operations Function Control Officer (FCO) is a leader, change… more
    SMBC (08/07/24)
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  • Technology, Operations & Procurement…

    SMBC (New York, NY)
    …(SMBC) will work within the Legal Department, reporting to the Executive Director and Head of the Technology, Operations and Procurement (TOP) Legal team. **Role ... SMBC Group offers a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has more than 130… more
    SMBC (07/17/24)
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  • Vice President, Broker-Dealer Private Side…

    SMBC (New York, NY)
    …advisory compliance experience at a broker dealer. + A solid foundation in US securities laws and regulations and broker dealer operations . + Ability to ... planning within area of expertise. Reports directly to the Head of Private Side Compliance Advisory for SMBC Nikko...communicate this knowledge and applicability to SMBC Nikko Securities Inc. and affiliate operations . + Understanding… more
    SMBC (07/31/24)
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  • Market Risk Governance Specialist

    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 Rail Services LLC, Manufacturers… more
    SMBC (07/03/24)
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  • Vice President, FX & Fixed Income Trade…

    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 (08/08/24)
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  • VP, Canadian Specialty Sales

    Raymond James Financial, Inc. (New York, NY)
    …equity sales & sales trading. * Principles of banking and finance and securities industry operations . * Financial markets and products. * Canadian Capital ... on investment opportunities and recommending buying and selling of securities . Regular contact with internal and external customers is...views on US equities, coordinate those requests with the head of sales before communicating with US clients. *… more
    Raymond James Financial, Inc. (06/01/24)
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  • Director, Commercial Strategy, S&P Global Ratings

    S&P Global (New York, NY)
    …markets, geographies and emerging risks. The role will report into the MD and Head of Global Commercial Strategy. **The Team:** The role sits within the Global ... will work most closely with and report into the Head and MD of Global Commercial Strategy, Product, &... and MD of Global Commercial Strategy, Product, & Operations . **Responsibilities:** + Monitor market trends, competition, customer feedback… more
    S&P Global (06/14/24)
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  • Director - Senior AML Financial Crime Risk…

    TD Bank (New York, NY)
    …Location** : United States of America **Hours:** 40 **Line of Business:** TD Securities **Pay Detail:** $175,000 - $195,000 USD TD is committed to providing fair ... business, Financial Crime Risk Management Group, Market Compliance, PB Operations and Governance and Control to ensure compliance with...due diligence reports and escalate any concerns to the Head of AML. + Conduct on-going enhanced due diligence… more
    TD Bank (08/01/24)
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