- Hired by Matrix (Bowling Green, NY)
- …establish and maintain effective relationships in order to deliver world class service to internal teams across multiple securities -based lending products. ... to enhance organizations' team capacities for over three decades. As a full- service search firm, we partner with companies across industries, including Financial … more
- Fidelity TalentSource LLC (Jersey City, NJ)
- …who support clients (brokerage firms and investment advisors) in selling restricted / control securities for their client s pursuant to SEC regulations and ... Job Description:The RoleAs a Director in the Restricted Stock Services (RSS) team, you will be primarily responsible for assisting with leading the RSS team members… more
- HSBC (New York, NY)
- … control , or internal audit preferably within a financial / banking services operations environment + Relevant experience in control testing, Internal Audit, ... Knowledge of capital markets and applicable regulations, including FX, derivatives, and securities sales and trading (OCC, SEC, CFTC, FINRA, NFA, CME + Risk or… more
- Morgan Stanley (New York, NY)
- …time to performing due diligence and approving transactions related to restricted and control securities . You will liaise with Financial Advisors and their ... firm providing a wide range of investment banking, securities , investment management and wealth management services ....the highest rank in the industry in quality and service . As part of the Restricted Securities … more
- Guardian Life (New York, NY)
- …platform and diversified product portfolio + Strong working knowledge of the securities industry, the products and services offered through broker-dealers, field ... The Chief Compliance Officer of Park Avenue Securities (PAS) will be responsible for representing the...to the Vice President, Chief Compliance Officer for Individual Markets , who is a member of the Individual … more
- Morgan Stanley (New York, NY)
- …audit coverage for application and system infrastructure supporting the Institutional Securities Technology Audit. In the Audit division, we provide senior ... management an objective and independent assessment of the Firm's internal control environment for risk management and governance. This is a Director level position… more
- Citigroup (New York, NY)
- …expense management + Create governance structure for the Sales and Client Services organization :: Drive transparency, accuracy and timeliness in sales reporting - ... cluster to properly see client information + Support NAM Sales and Client Services teams with maintaining an updated information in Client Insight and disciplined… more
- SMBC (New York, NY)
- …Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets , Inc., SMBC Rail Services LLC, Manufacturers Bank, JRI America, Inc., ... history, SMBC Group offers a diverse range of financial services , including banking, leasing, securities , credit cards,...a wide range of business functions including Credit Risk, Market Risk, Capital initiatives and Product Control .… more
- Scotiabank (New York, NY)
- Senior Manager, Markets Compliance Officer **Requisition ID:** 193881 **Salary Range:** 110,700.00 - 211,800.00 _Please note that the Salary Range shown is a ... in an inclusive and high-performing culture. **Global Banking and Markets :** Global Banking and Markets (GBM) is...our clients an important bridge to this key global market for trade and investment flows across the Americas… more
- Scotiabank (New York, NY)
- Manager, Markets Compliance Officer **Requisition ID:** 198261 **Salary Range:** 85,700.00 - 159,100.00 _Please note that the Salary Range shown is a guideline only. ... in an inclusive and high-performing culture. **Global Banking and Markets ** Global Banking and Markets (GBM) is...our clients an important bridge to this key global market for trade and investment flows across the Americas… more
- Citigroup (Jersey City, NJ)
- …Derivative, Clearing & Commodities Operations. We support an extensive range of Capital Markets products and services including Fixed Income (FX, Rates, Credit, ... and excel. + **Promote a culture of continuous improvement,** cultivating a robust service and control environment. + **Coaching and Mentoring:** Develop our… more
- Bank of America (New York, NY)
- …Financial Crimes Risk program. The role will be focused on activity in Global Markets - Bank of America Securities ("BofAS), and Global Wealth Investment ... Global Financial Crimes Manager - Global Markets and Global Wealth & Investment Management Risk...compliance officers for the Front Line Units (FLUs) and Control Functions (CFs) to complete compliance, policy, operational/fraud risk… more
- Insight Global (New York, NY)
- …* Bachelor's degree * Previous exposure to CFO and specifically valuation control processes across Securities and Derivatives with associated fixed income ... Job Description Muni Finance Group supports the Municipal Markets and Banking business and are responsible for... and Banking business and are responsible for the control infrastructure for the broad arrange of products they… more
- Scotiabank (New York, NY)
- … Commission (OSC), Nova Scotia Securities Commission (NSSC), European Securities and Markets Authority (ESMA), Financial Conduct Authority (FCA), Hong ... Director, Internal Control - Global GBM Regulatory Controls **Requisition ID:**...in an inclusive and high-performing culture. **Global Banking and Markets :** Global Banking and Markets (GBM) is… more
- SMBC (Jersey City, NJ)
- …Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets , Inc., SMBC Rail Services LLC, Manufacturers Bank, JRI America, Inc., ... history, SMBC Group offers a diverse range of financial services , including banking, leasing, securities , credit cards,...clients. It connects a diverse client base to local markets and the organization's extensive global network. The Group's… more
- Capco, a Wipro Company (New York, NY)
- …on client site to deliver change initiatives for leading clients across Financial Services , particularly the Capital Markets space. **What You'll Get to Do:** ... projects as needed by client. + Maintain awareness of market trends and present to client leadership. + Actively...You:** + 8+ years of consulting experience in Capital Markets and Securities related businesses, with specific… more
- US Bank (New York, NY)
- …areas: * Wealth Management laws and regulations (eg, Broker Dealer, Trust Services , Wealth Management, Securities and Exchange Commission (SEC) Regulations, ... Market laws and regulations (eg, Broker Dealer, Trust Services , Wealth Management, SEC Regulations, FINRA Regulations, 12CFR9 Regulation, Investments, Wealth… more
- Bank of America (New York, NY)
- ISG Capital Markets New Issue Diligence Specialist New York, New York **Job Description:** At Bank of America, we are guided by a common purpose to help make ... make a difference. Join us! **Job Description:** The New Issue Capital Markets Product Diligence Specialist will help conduct issuer due diligence. Additionally, the… more
- AIG (Jersey City, NJ)
- …trade lifecycle for all or some of the following: foreign exchange, money market , futures, options, swaps, fixed income securities + Knowledge and understanding ... 70 countries and jurisdictions. These diverse offerings include products and services that help businesses and individuals protect their assets and manage… more
- AIG (Jersey City, NJ)
- …trade lifecycle for all or some of the following: foreign exchange, money market , futures, options, swaps, fixed income securities + Knowledge and understanding ... 70 countries and jurisdictions. These diverse offerings include products and services that help businesses and individuals protect their assets and manage… more
