- 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
- HSBC (New York, NY)
- …our people, our investors, our communities and the planet we all share. The Markets & Securities Services OperationsNon-Financial RiskTeam is seeking an ... management function primarily responsible for ensuring that risks within Markets & Securities Services Operations...HSBC's ability to achieve cost efficiencies in line with market , client demand and service expectations. In… 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)
- …provide audit coverage for application and system infrastructure supporting 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
- Citigroup (New York, NY)
- …and maintain a strong knowledge of the product suite, stay abreast of market developments + Facilitate and co-ordinate all corporate actions such as dividend ... and liquidity of client programs + Maintain a strong control environment on aspects related to client servicing +...+ Minimum 5 years of work experience in Financial Services industry and/or Account Management + Strong presentation and… 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
- 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
- Citigroup (New York, NY)
- …with and adhere to Citi's Code of Conduct and the Plan of Supervision for Global Markets and Securities Services ; and ensure that all team members understand ... team responsible for market risk across asset classes within Citi's Global Markets division. One of the mandates is for in-business risk teams to ensure that… 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
- Morgan Stanley (New York, NY)
- …to the private side interest rate and foreign exchange desks in Global Capital Markets (GCM) and the public side counterparty credit risk desk (XVA) in the Fixed ... the desks on US legal and regulatory matters, including the Dodd Frank Act, securities laws and bankruptcy law o This includes providing legal advice as to how… 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,...the current compensation paid in their geography and the market for similar roles at the time of hire.… 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,...clients. It connects a diverse client base to local markets and the organization's extensive global network. The Group's… 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,...clients. It connects a diverse client base to local markets and the organization's extensive global network. The Group's… 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,...clients. It connects a diverse client base to local markets and the organization's extensive global network. The Group's… 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,...clients. It connects a diverse client base to local markets and the organization's extensive global network. The Group's… more
- Citigroup (New York, NY)
- **Job Description** The Supervision team sits within Markets and Securities Services , working alongside Trading and Sales businesses and various functions ... This role is to assist with the delivery of Supervisory Controls across Markets , this includes assisting with CAP remediation, oversight and project management of… more