- Citigroup (New York, NY)
- The Senior Financial Officer for the Investor/Issuer LFO team, will support the development and execution of financial objectives related to revenues, ... initiatives and partnering across other functions and Finance disciplines. Lead Financial Officer (LFO) teams are Finance partners to the functions and… more
- TD Bank (New York, NY)
- …to help manage regulatory risk. **Depth & Scope:** + Works independently as the senior officer and may coach and educate others + Individual contributor role ... recruiter who can provide you more specific details for this role. **Job Description:** This Senior Compliance Officer is a key member of the TDS US Compliance… more
- TD Bank (New York, NY)
- …provide you more specific details for this role. **Job Description:** **Preferred Qualifications:** This Senior Compliance Officer is a key member of the TDS US ... with regional testing teams across the globe. This Compliance Officer will also support other aspects of the Core...judgment and ability to closely partner with and advise senior and line managers and other stakeholders on regulatory… more
- TD Bank (New York, NY)
- …to help manage regulatory risk. **Depth & Scope:** + Works independently as the senior officer and may coach and educate others + Individual contributor role ... US Compliance team is looking for an Associate candidate ( Senior Compliance Officer ) to join the new...essential functions for ADA purposes. **Who We Are** TD Securities offers a wide range of capital markets products… more
- TD Bank (New York, NY)
- …global businesses, working with regional testing teams across the globe. This Compliance Officer will also support other aspects of the Core Compliance program as ... in trade or communications surveillance a plus. + Firm understanding of financial product rules and regulatory landscape, as well as a strong understanding… more
- TD Bank (New York, NY)
- …details for this role. **Job Description:** **Position:** Senior FCRM Compliance Officer -CIB **Reports to:** Director, Financial Crime Risk Oversight, TD ... Securities in developing, implementing, and maintaining a robust financial crime risk management ("FCRM") program that meets regulatory...risk. **Depth & Scope:** + Works independently as the senior officer and may coach and educate… more
- MTA (New York, NY)
- Senior Director - Debt Financing Job ID: 12102...well as special projects as determined by the Chief Financial officer from time to time. Responsibilities: ... Location: New York, NY, United States Regular/Temporary: Regular Department: Office of Financial Services Date Posted: Sep 24, 2025 Description JOB TITLE: Senior… more
- Citigroup (East Meadow, NY)
- …wealth management in the workplace through Citi Global Wealth at Work. The Senior Wealth Advisor will offer comprehensive financial and investment advice to ... our Citigold(R) and Citigold(R) Private Client segments. Senior Wealth Advisors have access to Wealth's leading investment...closely with a dedicated Wealth team to meet the financial needs of our Affluent and High-Net Worth clients,… more
- Citigroup (Huntington, NY)
- …limited to Senior Wealth Advisor, Small Business Partners, Home Lending Officer , etc.) + Acquire new clients through converting referral leads. + Manage client ... in PWM and Retail bank through the use of financial planning and excellent discovery and profiling skills +...based on client profiling and suitability assessments + Make securities recommendations and provide investment advice to clients through… more
- SMBC (New York, NY)
- …team is responsible for production of Annual Compliance Reports and related senior officer certifications. **Responsibilities:** + Provide compliance advice and ... other communications. + Support production of Annual Compliance Report and related senior officer certifications + Participate in evaluation and implementation… more
- S&P Global (New York, NY)
- …the Role:** **Grade Level (for internal use):** 13 **Director - Review Officer , Corporates & Infrastructure - S&P Global Ratings** **The Team:** The Analytical ... AQV effectively to various stakeholders including Board Members, Regulators, and Senior Ratings Management, serving as a credible spokesperson for our analytical… more
- Unity Technologies (New York, NY)
- …teams and interact with all levels of the business. This role reports to the Senior Vice President, Chief Legal Officer of Unity, and will be located in ... or capital markets experience. + Knowledge of public company financial reporting rules and regulations relevant to securities... financial reporting rules and regulations relevant to securities law. + Ability to work directly with internal… more
- SMBC (New York, NY)
- …and with a 400-year history, SMBC Group offers a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. ... than 130 offices and 80,000 employees worldwide in nearly 40 countries. Sumitomo Mitsui Financial Group, Inc. (SMFG) is the holding company of SMBC Group, which is… more
- SMBC (New York, NY)
- …and with a 400-year history, SMBC Group offers a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. ... than 130 offices and 80,000 employees worldwide in nearly 40 countries. Sumitomo Mitsui Financial Group, Inc. (SMFG) is the holding company of SMBC Group, which is… more
- SMBC (New York, NY)
- …and with a 400-year history, SMBC Group offers a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. ... than 130 offices and 80,000 employees worldwide in nearly 40 countries. Sumitomo Mitsui Financial Group, Inc. (SMFG) is the holding company of SMBC Group, which is… more
- SMBC (New York, NY)
- …and with a 400-year history, SMBC Group offers a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. ... and senior management based on the solid knowledges around financial analysis and US regulatory requirements. + Prepare written executive summaries/comments of… more
- SMBC (New York, NY)
- …and with a 400-year history, SMBC Group offers a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. ... than 130 offices and 80,000 employees worldwide in nearly 40 countries. Sumitomo Mitsui Financial Group, Inc. (SMFG) is the holding company of SMBC Group, which is… more
- Bank of America (New York, NY)
- …establish infrastructure for new products, and approve ledger journal entries. The Chief Financial Officer (CFO) Groupis responsible for the overall financial ... for a Line of Business (LOB) by producing all financial reporting and disclosures in partnership with senior...+ Monthly Independent Price verification on both Derivatives and securities positions. Have a basic understanding and knowledge of… more
- HUB International (New York, NY)
- …registered investment advisor and limited purpose FINRA Broker-Dealer: The Chief Compliance Officer , will be a highly visible, senior leadership position, ... reporting directly into the Global/Executive Chief Compliance and Risk Officer , working closely with RPW senior leadership...and procedures designed to prevent violations of the federal securities laws such as the SEC Investment Adviser Act… more
- Bank of America (New York, NY)
- …price risk in the CFO managed securities portfolio. As the Chief Risk Officer (CRO) function covering the Chief Financial Officer (CFO) Group, we ... Enterprise Financial Risk Capital Markets Risk Sr. Specialist Charlotte,...points of view, including appropriate escalation and communication to Senior Management + Understand and document the capital impacts… more