- Lincoln Financial Group (Rye Brook, NY)
- …accounting systems is needed # * 5+ Years of experience in accounting, securities or financial reporting that directly aligns with the specific responsibilities ... **General Purpose of Job** As a regulatory GAAP and Statutory Investment Reporting Analyst, you will be responsible for providing timely and accurate investment… more
- SMBC (White Plains, 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
- NatWest Markets (Stamford, CT)
- …of the department and the business._ **Swap Dealer Testing VP (2LOD)** Reporting to the Senior Monitoring and Testing Compliance Assurance Officer this role ... to mitigate the risk of non-compliance with Compliance Risk and for reporting and escalating controls issues and any violations of policy. **Key Responsibilities:**… more
- NatWest Markets (Stamford, CT)
- …to mitigate the risk of non-compliance with Compliance Risk and for reporting and escalating controls issues and any violations of policy. **Key Responsibilities:** ... in the swap-dealer business. + Good knowledge of swap dealer regulations, and securities products and compliance including knowledge of CFTC, DTCC, NFA regulation. +… more
- NatWest Markets (Stamford, CT)
- …controls continue to operate effectively. The role will also be responsible for reporting and escalating controls issues and any potential violations of laws or ... Capital Markets business + Sound knowledge of broker dealer regulations, and securities products and compliance including knowledge of CFTC, FINRA, SEC, CMA… more
- SMBC (White Plains, 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 (White Plains, 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 (White Plains, 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 (White Plains, 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 (White Plains, 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 (White Plains, 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
- Citigroup (Greenburgh, NY)
- …to clients based on client profiling and suitability assessments + Make securities recommendations and provide investment advice to clients through a select number ... personal behavior, conduct and business practices, and escalating, managing and reporting control issues with transparency + Regularly assume an informal/formal… more
- NatWest Markets (Stamford, CT)
- …and fraud, is managed effectively, including prompt identification, escalation and reporting **Knowledge & Experience** + In-depth knowledge of pre-trade client ... markets businesses with experience across a wide range of regulatory requirements (AML/KYC, securities rules, Dodd Frank, etc.) + Ability to manage a team with… more
- SMBC (White Plains, 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 (White Plains, 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
- NatWest Markets (Stamford, CT)
- …of the department and the business._ **Job Description** The Compliance Advisory Officer reporting to the Compliance Advisory Lead will serve as a Sales and Trading ... but not limited to CFTC Swap Dealer Rules, TRACE Reporting , Primary Dealer Rules, and FINRA rules. + Assist...tuition reimbursement. **It is the policy of NatWest Markets Securities Inc. and its parent, affiliates and/or subsidiaries to… more
- International Paper (Stamford, CT)
- …the IP Savings Plan investment funds. + Monitors investment manager performance reporting . + Monitors the securities lending programs, completes cash ... Accounting or related field of study + Basic understanding of accounting/financial reporting + Strong analytical and computer skills; proficient in Microsoft Excel +… more
- NatWest Markets (Stamford, CT)
- …reviews and tests of established Business Continuity Plans and procedures, reporting findings to management and making recommendations for improvements as needed ... flexibility, good judgment and sound decision-making often based on limited information and/or under extreme conditions + Works effectively across geographies -… more
- Deloitte (Stamford, CT)
- …largest in the world, serving over 90% of Fortune 500 banking, insurance, securities , investment management, and real estate companies. Recruiting for this role ends ... improvement and innovation. Qualifications Required + Bachelor's degree in Computer Science, Information Technology, Data Science or a related field + Minimum 5… more
- NatWest Markets (Stamford, CT)
- …prevention of E-Trading risks, such as market, conduct risk & algorithmic trading risk. Reporting to the US Head of Risk and Control and supporting the global ... leave and tuition reimbursement. **It is the policy of NatWest Markets Securities Inc. and its parent, affiliates and/or subsidiaries to provide equal employment… more