- HSBC (New York, NY)
- …team offers a diverse range of legal skills, jurisdictional experience and practice specialisms across all countries and territories in which our businesses operate. ... individual to join our Corporate and Institutional Legal team covering markets regulatory , working together with colleagues to define, manage and achieve divisional… more
- SMBC (New York, NY)
- …with a 400-year history, SMBC Group offers a diverse range of financial services , including banking, leasing, securities , credit cards, and consumer finance. The ... in Asia, the Group offers a range of commercial and investment banking services to its corporate, institutional, and municipal clients. It connects a diverse client… more
- SMBC (New York, NY)
- …with a 400-year history, SMBC Group offers a diverse range of financial services , including banking, leasing, securities , credit cards, and consumer finance. The ... in Asia, the Group offers a range of commercial and investment banking services to its corporate, institutional, and municipal clients. It connects a diverse client… more
- SMBC (Jersey City, NJ)
- …with a 400-year history, SMBC Group offers a diverse range of financial services , including banking, leasing, securities , credit cards, and consumer finance. The ... Group offers a range of commercial and investment banking services to its corporate, institutional, and municipal clients. It...Data Quality management, Lineage - in line with best practice and regulatory expectations + Work across… more
- JPMorgan Chase (New York, NY)
- …impacting the Securities Services business and our clients. As the Regulatory Practice Americas Manager for Securities Services , you will ... for our clients. Be part of the dynamic Global Regulatory Practice team (with locations across Europe,...product and control partners. + Anticipate client demand for regulatory service solutions and adapt products/ services… more
- TD Bank (New York, NY)
- …specific details for this role. **Job Description:** The role will be part of TD Securities Business Regulatory Initiatives (BRI) team which plays a lead role in ... to regulation and good practice principles for all jurisdictions in which TD Securities operates. BRI is a first line (1A) team which reports into the Business.… more
- TD Bank (New York, NY)
- …role. **Line of Business:** TD Securities **Job Description:** The TD Securities , Employee Relations Director, Regulatory and Controls is responsible for ... around HR processes for TDS HR to ensure operational effectiveness and regulatory adherence. The day accountabilities would entail: working closely with regional HR… more
- Bristol Myers Squibb (Princeton, NJ)
- …in our work environment. We offer a wide variety of competitive benefits, services and programs that provide our employees with the resources to pursue their ... Read more: careers.bms.com/working-with-us . **Position:** Senior Corporate Counsel, Strategy, Securities , Governance & Purpose Law (Senior Director) **Location** :… more
- TD Bank (New York, NY)
- …tailored to resolving issues with consideration to regulatory requirements, regulatory and firm risk and industry best practice . **Responsibilities:** + ... integration of a complex global equity platform into TD Securities (USA) LLC and into the overall Compliance Framework....Advise business areas on firm policies and procedures, regulatory requirements and industry best practice . +… more
- Citigroup (New York, NY)
- …Security Agency Trading business through the negotiation of the Master Securities Forward Transaction Agreement. Applicants should have experience in GSE Agency ... securities transactions and the negotiation of Master ...industry standards, widely accepted business practices, laws, rules, and regulatory guidelines, escalating as appropriate + Collaborates across internal… more
- SMBC (New York, NY)
- …with a 400-year history, SMBC Group offers a diverse range of financial services , including banking, leasing, securities , credit cards, and consumer finance. The ... benefits to its employees. **Role Description** The Compliance group within SMBC Nikko Securities Inc. serves as a regulatory advisory function to the President… more
- TD Bank (New York, NY)
- …be tailored to resolving issues with consideration to regulatory requirements, regulatory and firm risk and industry best practice . **Key Responsibilities** ... focus on providing real-time compliance advice to the TD Securities (USA) LLC Research group, Strategist teams and others...+ Advise business areas on firm policies and procedures, regulatory requirements and industry best practice . +… more
- JPMorgan Chase (New York, NY)
- …+ Advise the Securitized Products businesses on all relevant legal and regulatory matters and relevant securities laws applicable to public and ... innovative solutions for complex financings and securitizations involving asset-backed securities , residential mortgage-backed securities and commercial mortgage-backed… more
- JPMorgan Chase (Jersey City, NJ)
- …being built out as part of a strategic reengineering effort supporting the Securities Services businesses within the JPMorgan Chase Commercial & Investment Bank. ... include Business Expertise spanning Buy-side and Sell-side perspectives on Securities & Derivatives Products and Functional & Information Architecture experience… more
- MUFG (New York, NY)
- …investment bank and provides M&A, capital raising and strategic advisory services to entrepreneurs, family-owned companies, private equity sponsors and major ... the Managing Director level in our Industrials and Business Services Group with a focus on the environmental ...all client and counter-party communication + Leading a specific practice or product area, as applicable, and developing thought… more
- Bank of America (Bridgewater, NJ)
- …of the Advisor Development Program,** your journey begins by obtaining your Securities Industry licenses, where you receive dedicated and personalized classes for ... your Securities Industry Essentials [SIE], Series 7 and Series 66...financial advice and guidance by identifying broader product and service solutions that meet their investment, savings and liability… more
- TD Bank (New York, NY)
- …York, New York, United States of America **Hours:** 40 **Line of Business:** TD Securities **Pay Detail:** $175,000 - $225,000 USD TD is committed to providing fair ... currently seeking an experienced Associate to join our Healthcare Investment Banking practice in New York. The day-to-day responsibilities of an Associate include:… more
- Truist (New York, NY)
- …document moderately complex application solutions that meet defined Capital Markets Securities business requirements and meets the enterprise and Capital Markets ... specific performance and Securities Industry architectural standards. Focus on applications and business...information systems and ability to apply that knowledge in practice 3. Ability to manage competing priorities 4. Ability… more
- MUFG (New York, NY)
- …audit or risk management experience and/or equivalent experience with the financial services industry, related markets, and related regulatory agencies. + ... within industry best practices, applicable regulations, and internal and external professional practice expectations. + Act as a leader and role model and… more
- MUFG (New York, NY)
- …in law school or in-house at a public corporation, law firm, or financial services regulatory agency. + Understanding of, and experience in, analyzing and ... and guidance. + Structure, negotiate and draft a variety of software-as-a- service , software licensing, hardware procurement, professional services , and IT… more
