- JPMorgan Chase (Plano, TX)
- **Role Description:** As the Head of Billing Operations for Securities Services you will lead a global team of approximately 130 staff, located in Plano, TX and ... Manila, Philippines and will report directly to the Global Head of Client Account Services within the Digital &...+ In depth experience of the Financial Services industry ( Securities Services and/or Markets experience desired) +… more
- TD Bank (New York, NY)
- …to communicate effectively with all levels of staff and management **Who We Are** TD Securities offers a wide range of capital markets products and services to ... States of America **Hours:** 40 **Line of Business:** TD Securities **Pay Detail:** 150,000 - 200,000 USD TD is...the Bank and to place US and Canadian money market positions. The position liaises closely with the Bank's… more
- Cabrera Capital Markets, LLC (Chicago, IL)
- Position: Managing Director - Head of Municipal Sales & Trading Location: Chicago, IL (Onsite) OR New York, NY (Onsite) The Managing Director, Head of Municipal ... its established revenue goals. Responsibilities include buying and selling of municipal securities on behalf of the firm with the intent to distribute them… more
- SMBC (Jersey City, NJ)
- …companies in the Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets , Inc., SMBC Rail Services LLC, ... a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has...the current compensation paid in their geography and the market for similar roles at the time of hire.… more
- TD Bank (Chicago, IL)
- …will support the integration of a newly acquired quantitative trading Firm by TD Securities (USA) LLC into the overall Compliance Framework. Focus will be on ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** 190,000 - 250,000 USD TD is...globally; * JD a plus **Who We Are** TD Securities offers a wide range of capital markets… more
- SMBC (Charlotte, NC)
- …companies in the Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets , Inc., SMBC Rail Services LLC, ... clients. It connects a diverse client base to local markets and the organization's extensive global network. The Group's...of the Charlotte based Fixed Income Middle Office and Securities Settlements functions. Reporting directly to the Head… more
- SMBC (New York, NY)
- …companies in the Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets , Inc., SMBC Rail Services LLC, ... procedures for optimized efficiency and productivity + Set strategic priorities with the Head of Compliance Surveillance to identify areas of focus and identify… more
- Vanguard (Malvern, PA)
- …with and influence the strategic direction of the testing and monitoring team. The Compliance Manager, Head of Fund & Advisor Inspections: + Hires, evaluates, ... Leads a team responsible to perform compliance testing and monitoring inspections. Supports the development,...awareness of the investment industry. Stays abreast of current market , regulatory, and industry relevant news. Serves as an… more
- Citigroup (New York, NY)
- …the strategy for the Origination and Execution personnel + Works closely with the Capital Markets and Banking sectors, and the Regional Head of Sales to set the ... Communicates business updates to the wider Investor Services and Markets and Securities business, and Banking and...in close partnership with control functions such as Legal, Compliance , Market and Credit Risk, Audit, Finance… more
- SMBC (New York, NY)
- …companies in the Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets , Inc., SMBC Rail Services LLC, ... SMBC Group offers a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has more than 130… more
- SMBC (New York, NY)
- …companies in the Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets , Inc., SMBC Rail Services LLC, ... a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has...Regulatory Change Management is a crucial role within the Compliance Department, reporting directly to the Head … more
- SMBC (Jersey City, NJ)
- …companies in the Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets , Inc., SMBC Rail Services LLC, ... a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has...benefits to its employees. **Role Description** Reporting to the Head of KYC in the Compliance Department,… more
- Wells Fargo (New York, NY)
- …are accountable for execution of all applicable risk programs (Credit, Market , Financial Crimes, Operational, Regulatory Compliance ), which includes effectively ... Investment Banking (CIB) delivers a comprehensive suite of capital markets , banking, and financial products and services. A trusted...(the non US business in EMEA and APAC).** **The Head of CIB Innovation will be responsible for spearheading… more
- Wells Fargo (Charlotte, NC)
- …are accountable for execution of all applicable risk programs (Credit, Market , Financial Crimes, Operational, Regulatory Compliance ), which includes effectively ... **About this role:** Wells Fargo is seeking a Head of Equity Optimization in Managed Solutions as...will be communicated at time of offer acceptance + Compliance with state law registration and licensing requirements is… more
- Citigroup (New York, NY)
- …Services business brings together our Treasury & Trade Solutions with our Securities Services, providing global solutions that can help clients drive their business ... their business with access to local expertise and scalable securities management solutions. **Overview of the Role:** As a...lines, you'll lead global teams that design industry and market leading client solutions that are poised to exceed… more
- CIBC (New York, NY)
- …JOB PURPOSE Compliance Examination Manager for Capital Markets /Broker-Dealer/Swap Dealer Reporting to the Head of US ... Compliance Examination Program, the Compliance Examination Manager is accountable for execution of the...with appliable laws, rules and regulations by the Capital Markets business unit within the US. + Plan, scope… more
- SMBC (New York, NY)
- …companies in the Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets , Inc., SMBC Rail Services LLC, ... function across its Combined US Operations (CUSO). Specifically, the Market Risk Groups within SMBC Capital Markets ,...well as leverage resources in the RMDAD to cover market risk across banking book, derivatives, and securities… more
- SMBC (New York, NY)
- …companies in the Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets , Inc., SMBC Rail Services LLC, ... clients. It connects a diverse client base to local markets and the organization's extensive global network. The Group's...well as leverage resources in the RMDAD to cover market risk across banking book, derivatives, and securities… more
- SMBC (New York, NY)
- …companies in the Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets , Inc., SMBC Rail Services LLC, ... of benefits to its employees. **Role Description** This senior role within the Compliance Department supports the Head of Surveillance, Data & Analytics (DAS).… more
- SMBC (New York, NY)
- …companies in the Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets , Inc., SMBC Rail Services LLC, ... a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has...owners - closed. This role will report into the Head of Compliance Reporting, Risk & Controls… more