- Citigroup (New York, NY)
- …spectrum. It serves over 500,000 clients through its global footprint in Asia, EMEA, Latin America , and North America . Wealth delivers a wide range of ... The Wealth Lending business offers a diverse product range including Securities Based Lending, Commercial Real Estate (CRE) and Residential Real Estate… more
- AIG (New York, NY)
- …Accounts (<$1B Revenue), Financial Institutions Accounts, and Private Non-Profit Accounts across North America , Canada, and Bermuda. How you will create an ... Deputy Head of D&O Product, Financial Lines Join us...+ Create and Track engagement of D&O public company securities panel counsel and private non-profit D&O panel counsel… more
- TD Bank (New York, NY)
- …world's leading global financial institutions and is the fifth largest bank in North America by branches/stores. Every day, we deliver legendary customer ... **Work Location:** New York, New York, United States of America **Hours:** 40 **Pay Details:** $110,760 - $178,880 USD...**The role will serve as deputy to the US Head of Compliance Transformation and support program management of… more
- Citigroup (New York, NY)
- …relationship. Citi Private Client and Citigold have Financial Advisors covering clients in North America , Hong Kong, Singapore and United Arab Emirates. Head ... Initial focus will be creating and driving a delivery strategy for Securities Based Lending and Residential Mortgages with further expansion in these segments… more
- Janus Henderson Investors (Denver, CO)
- …sales and marketing of investment company/investment advisory products and services across North America + Ability to work independently and make decisions ... the ability to navigate complex regulatory environments + Deep understanding of securities laws and regulations (including FINRA, SEC, and state regulations) as they… more
- TD Bank (Fort Lauderdale, FL)
- …world's leading global financial institutions and is the fifth largest bank in North America by branches/stores. Every day, we deliver legendary customer ... **Work Location:** New York, New York, United States of America **Hours:** 40 **Pay Details:** $141,960 - $230,880 USD TD is committed to providing fair and… more
- S&P Global (Englewood, CO)
- …the Analytical teams across S&P Global Ratings, with primary focus on the North America Corporate & Infrastructure practices. This includes the identification ... First Line Risk Control** **The Role** Reporting to the Head of In-Business Control Analytical, this position is responsible...innovation and power global markets. S&P Global has a Securities Disclosure and Trading Policy ("the Policy") that seeks… more
- SMBC (New York, NY)
- …the execution of project finance and structured finance transactions in North America with the oversight of the group head and/or other senior colleagues. ... Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America , Inc., SMBC Capital Markets, Inc.,...across product groups as part of the Infrastructure Finance North America team. Actively participate with senior… more
- T. Rowe Price (Baltimore, MD)
- …separately managed account (SMA) platforms. This role will be responsible for assisting the Head of North America Compliance in developing and maintaining an ... expert in assigned product lineup. Responsibilities + Assist the Head of North America Compliance...the Investment Company Act of 1940 (including Rule 6c-11), Securities Exchange Act of 1934, and CFTC + Knowledge… more
- HSBC (Washington, DC)
- …applicable law. **Job Field:** Branch and Retail Banking **Primary Location:** North America -United States-District of Columbia-Washington **Req ID:** 0000KM5N ... Ensure the laws, regulations and ethical standards of the securities industry are adhered to in assigned Wealth Centers...locally by containing compliance risk in liaison with the Head of Group Compliance, Global Business Compliance Officer, Area… more
- BMO Financial Group (Chicago, IL)
- …Capital Markets. Location: preference for Toronto based; but other major centers in North America will be considered. KEY AREAS OF ACCOUNTABILITY **A. ... foreign exchange, interest rate and equity derivatives, structured finance, equity linked securities and commodities. MANDATE Reporting to the Managing Director & … more
- Citigroup (New York, NY)
- … Services (MSS) Corporate Credit Underwriters cover large and complex relationships within North America , are responsible for all underwriting activities in the ... Corporate Bank and Risk. This role reports directly to the Global Head of Natural Resources Corporate Credit Underwriting. KEY RESPONSIBILITIES: + Executes, aligned… more