- SMBC (New York, NY)
- …include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets , Inc., SMBC MANUBANK, JRI America, Inc., SMBC Leasing and ... Mexico, Brazil, Chile, Colombia, and Peru. Backed by the capital strength of SMBC Group and the value of...clients. It connects a diverse client base to local markets and the organization's extensive global network. The Group's… more
- Deloitte (New York, NY)
- …or consulting industry related to any of the following Financial Services/ capital markets industries: investment banking, broker-dealer, prime brokerage, wealth ... in strategic, regulatory, risk-related, technological, or operational change initiatives within capital markets environments + Direct experience in people… more
- Capital One (New York, NY)
- Trade Surveillance Manager (Broker-Dealer & Swap Dealer) **About the Role** We are seeking a highly skilled Trade Surveillance Manager to lead and ... military experience + At least 5 years of trade surveillance , market regulation, or At least 5...priorities in a fast-paced, regulated environment. At this time, Capital One will not sponsor a new applicant for… more
- TD Bank (New York, NY)
- …for ADA purposes. **Who We Are** TD Securities offers a wide range of capital markets products and services to corporate, government, and institutional clients ... team is looking for Vice President candidates to join the trade surveillance team, specializing in Fixed Income Products, Foreign Exchange and Commodities, Equities… more
- TD Bank (New York, NY)
- …for ADA purposes. **Who We Are** TD Securities offers a wide range of capital markets products and services to corporate, government, and institutional clients ... The ideal candidate will have deep expertise in financial markets , data governance, trade surveillance systems, and...of trading in equities, fixed income, FX, and derivatives markets , as well as market abuse and… more
- TD Bank (New York, NY)
- …for ADA purposes. **Who We Are** TD Securities offers a wide range of capital markets products and services to corporate, government, and institutional clients ... changes and remain updated on trends related to communications surveillance (eg, market abuse, regulatory expectations, etc)....and FX is required + Knowledge of the US markets and regulations of communications by Sales and Trading… more
- TD Bank (New York, NY)
- …of Fixed Income Products, with relevant knowledge of trade lifecycle and capital markets business. KEY ACCOUNTABILITIES SHAREHOLDER * Consistently exercise ... candidate (Senior Compliance Officer) to join the new Trade Surveillance team. Preferred 3-5 years of experience in trade...We Are** TD Securities offers a wide range of capital markets products and services to corporate,… more
- TD Bank (New York, NY)
- …leadership, ideally within financial services or technology-driven transformations. + Experience in Capital Markets or within the Banking Industry is preferred. ... **ABOUT THE ROLE** We are seeking an experienced Project Manager / Delivery Lead with 10+ years of end-to-end...delivering large, complex programs end-to-end. + Strong knowledge of capital markets products, data flows, and technology… more
- Mizuho Corporate Bank (New York, NY)
- …approximately 3,500 professionals, and its capabilities span corporate and investment banking, capital markets , equity and fixed income sales & trading, ... Join Mizuho as a Risk Assessment Project Manager ! In this role you will bridge business...of compliance systems, including transaction monitoring, case management, and surveillance . + Regulatory Compliance: Ensure that all compliance technology… more
- TD Bank (New York, NY)
- …leadership, ideally within financial services or technology-driven transformations. + Experience in Capital Markets or within the Banking Industry is preferred. ... **ABOUT THE ROLE** We are seeking an experienced Project Manager / Delivery Lead with 7+ years of end-to-end...delivering large, complex programs end-to-end. + Strong knowledge of capital markets products, data flows, and technology… more
- TD Bank (New York, NY)
- …requires experience within the financial services industry, specifically in compliance, trade surveillance and/or capital markets domains including trading ... . Knowledge of financial industry trade surveillance , market abuse monitoring and/or global markets domain...We Are** TD Securities offers a wide range of capital markets products and services to corporate,… more
- Huntington National Bank (New York, NY)
- …by leveraging capabilities in other areas of the bank (eg, CSG, commercial banking, capital markets ), thereby gaining market share and developing new areas ... through new client acquisition and cross-selling other banking services, including capital markets , treasury management, wealth management + Excellent… more
- TD Bank (New York, NY)
- …skills. + Proficient in Excel, Word, PowerPoint and SharePoint. Knowledge of markets surveillance systems and applications a plus. **Physical Requirements:** ... regulatory landscape, as well as a strong understanding of market abuse behavior surveillance and regulatory expectations....We Are** TD Securities offers a wide range of capital markets products and services to corporate,… more
- TD Bank (New York, NY)
- …skills. + Proficient in Excel, Word, PowerPoint and SharePoint. Knowledge of markets surveillance systems and applications a plus. **Physical Requirements:** ... regulatory landscape, as well as a strong understanding of market abuse behavior surveillance and regulatory expectations....We Are** TD Securities offers a wide range of capital markets products and services to corporate,… more
- TD Bank (New York, NY)
- …skills. + Proficient in Excel, Word, PowerPoint and SharePoint. Knowledge of markets surveillance systems and applications a plus. **Physical Requirements:** ... regulatory landscape, as well as a strong understanding of market abuse behavior surveillance and regulatory expectations....We Are** TD Securities offers a wide range of capital markets products and services to corporate,… more
- S&P Global (New York, NY)
- …matters **What's in it for you** : Structured Finance is an important sector of the capital markets and is a key funding source and growth driver for many areas ... provider of credit ratings, benchmarks, analytics and workflow solutions in the global capital , commodity and automotive markets . With every one of our… more
- S&P Global (New York, NY)
- …provider of credit ratings, benchmarks, analytics and workflow solutions in the global capital , commodity and automotive markets . With every one of our ... We play a vital role in bringing transparency and comparability to financial markets , helping investors measure and manage credit risk. Infrastructure is a rapidly… more
- TD Bank (New York, NY)
- …knowledge of financial crime risks and controls relating to investment banking / capital markets , with a preference for candidates also displaying this knowledge ... Provide backup to general AML compliance functions such as surveillance reviews, section 312 reviews and TD affiliates due...We Are** TD Securities offers a wide range of capital markets products and services to corporate,… more
- TD Bank (New York, NY)
- …for ADA purposes. **Who We Are** TD Securities offers a wide range of capital markets products and services to corporate, government, and institutional clients ... audit requests. + Provide backup to general AML compliance functions such as surveillance reviews, section 312 reviews and TD affiliates due diligence reviews. +… more
- M&T Bank (New York, NY)
- …strategies, and portfolio management for Leveraged Lending portfolio for Middle Market and PE Sponsored clients. This leadership role involves developing credit ... largest commercial clients identifying credit risks and mitigants, industry concerns, market trends, financial trends, and other pertinent credit issues. These… more
