- TD Bank (New York, NY)
- …Liaise and coordinate with internal stakeholders, such as Credit, Business, Tax, Legal , Operations and Collateral Management, during the documentation process. + ... and internal business partners by preparing and negotiating legal documentation with global counterparties for trading products such...essential functions for ADA purposes. **Who We Are** TD Securities offers a wide range of capital markets… more
- Wells Fargo (Charlotte, NC)
- **About this role:** Wells Fargo is seeking a Securities Operations Specialist in the Trust Services team within Wealth & Investment Management within our ... complex lifecycle support initiatives and identify opportunity for process improvements within Securities Operations . + Review and analyze basic or tactical… more
- Wells Fargo (Charlotte, NC)
- …this role:** Wells Fargo is seeking a Wells Fargo is seeking a Senior Securities Operations Specialist for our Operational Risk Services Team. The team sits ... oversees eight vertical disciplines that provide support across WIM Operations to ensure compliance with legal , regulatory,...End-User Computing Tools (EUCT) policy support. As a Senior Securities Operations Specialist, you will play a… more
- Kestra Medical Technologies, Inc (Kirkland, WA)
- …governance, capital markets or regulatory enforcement. + In-depth knowledge of securities laws, regulations and legal precedents + Ability to handle complex ... including, but not limited to, Finance, Investor Relations, People Operations , Sales, Marketing, Market Access, QA/RA, Supply...training to team members and others on insider trading, market manipulation, and other violations of securities … more
- Medtronic (Los Angeles, CA)
- …for its announced separation from Medtronic. This is an exciting opportunity for a legal professional with deep expertise in securities law to contribute to the ... company. The successful candidate will work closely with the members of the legal team and business stakeholders on securities , corporate governance, and entity… more
- Citigroup (Getzville, NY)
- …disciplinary knowledge within Rates Middle Office understanding of Citi practices and Market Operations functions. Basic understanding of how the team interacts ... the business through the quality of the tasks/services provided. **Organization Overview:** Citi Markets Operations is currently at a pivotal point in its… more
- TD Bank (New York, NY)
- …& duties are considered essential functions for ADA purposes. **Who We Are** TD Securities offers a wide range of capital markets products and services to ... New York, United States of America **Hours:** 40 **Line of Business:** TD Securities **Pay Detail:** - TD is committed to providing fair and equitable compensation… more
- TD Bank (New York, NY)
- …and Business Leaders. This role will support a subset of the TD Securities portfolio. The Specialized HR Associate provides specialized analytical support and act as ... packages that vary in scope and complexity including daily operations of work, compliance and audits, quality assurance and...prompt and thorough resolution of issues + Evaluates all legal domestic relations orders for compliance, seeks legal… more
- NCR VOYIX (Atlanta, GA)
- …around the world to your local favorite around the corner. The Senior Counsel, Securities and Corporate Governance provides legal support for SEC and NYSE ... capabilities. Not only are we the leader in the market segments we serve and the technology we deliver,...university with a minimum of five years of relevant legal experience, preferably in the technology sector, with strong… more
- Insight Global (Chicago, IL)
- …adhering to the latest regulatory requirements. Strong Knowledge of cleared collateral operations , security operations or middle office operations would ... comprehensive support of day-to-day funding process for the Global Collateral Operations business while ensuring appropriate risk mitigation controls are followed.… more
- Warner Bros. Discovery (Atlanta, GA)
- …seeking a senior legal executive to lead Mergers & Acquisitions, Capital Markets , and Corporate Secretary functions for the company. This role will oversee all ... corporate governance, securities compliance, public company reporting, and board operations...the interconnected and cross-functional nature of these transactions across legal , finance, operations , and corporate strategy. This… more
- Citigroup (New York, NY)
- …and technology professionals. + Work in close partnership with control functions such as Legal , Compliance, Market and Credit Risk, Audit, Finance in order to ... Provides advice and counsel related to the technology or operations of the business. Work impacts an entire area,...of Conduct and the Plan of Supervision for Global Markets and Securities Services; and ensure that… more
- Capital One (Mclean, VA)
- …candidate will possess a risk mindset and has experience in Capital Markets Operations , Swap Dealer Requirements, Compliance or Audit. **Responsibilities** + ... Senior Associate, Capital Markets and Risk - Collateral Operations ...and transactions such as Derivatives (Uncleared and Cleared), Capital Market transactions, Collateralization of certain funding facilities and specific… more
- TD Bank (New York, NY)
- …US FCRM TDS Business Oversight efforts, providing advisory and oversight for the Global Markets business within TD Securities , US. + Support the AVP, Head of ... & duties are considered essential functions for ADA purposes. **Who We Are** TD Securities offers a wide range of capital markets products and services to… more
- Manulife (New York, NY)
- …instincts, and a demonstrable track record of working successfully with investment, operations , finance, legal , and compliance professionals as well as executive ... or Boston, the role of Chief Compliance Officer-Manulife Investment Management Private Markets Registered Funds and CQS (US), LLC has the following two principal… more
- Manulife (New York, NY)
- …instincts, and a demonstrable track record of working successfully with investment, operations , finance, legal , and compliance professionals as well as executive ... or Boston, the role of Chief Compliance Officer-Manulife Investment Management Private Markets Registered Funds and CQS (US), LLC has the following two principal… more
- Raymond James Financial, Inc. (New York, NY)
- **Job Summary** Operating with a high level of autonomy, the Capital Markets Chief Compliance Officer will lead and oversee the design, implementation, and ... supervision of a comprehensive compliance program for the Capital Markets division. This role requires significant industry expertise, regulatory acumen, and… more
- Unity Technologies (New York, NY)
- …**Role description** **The opportunity** Unity is looking for a Vice President, Corporate and Securities to join its Legal team. In this role, you will be ... matters. + Manage the company's stock administration function. + Advise on legal aspects of corporate activities such as securities offerings, treasury… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …skills to drive referral agreement negotiations and operationalizing of private market investment opportunities. Supports the broader private markets platform ... Contact with both internal clients and functional area representatives including legal , compliance, supervision, operations , and AML. **Essential Duties and… more
- Wells Fargo (Charlotte, NC)
- …closely with multiple business partners including Trading, Sales, Finance, Technology, Documentation, Legal , Payments, Market Risk, CRO's and DRO's + Work with ... this role:** Wells Fargo is seeking a Senior Capital Markets Middle Office Specialist within the (XVA) and Macro...desk team as a part of Corporate Investment Banking Operations . Learn more about the career areas and business… more