- 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)
- …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
- 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
- Bank of America (New York, NY)
- Direct Markets Coverage Brokerage Services Financial Advisor New York, New York **To proceed with your application, you must be at least 18 years of age.** ... must be at least 18 years of age.** Acknowledge (https://ghr.wd1.myworkdayjobs.com/Lateral-US/job/New-York/Brokerage- Services -Financial-Advisor\_25035237) **Job Description:** Merrill Wealth Management is a leading… 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
- 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
- Ankura (New York, NY)
- Ankura is a team of excellence founded on innovation and growth. Practice Overview: Ankura's large team of long-time licensing officers and former regulators has ... extensive collective experience obtaining and maintaining thousands of regulatory licenses for Fintech companies in areas like money transmission, cryptocurrency,… more
- Ankura (New York, NY)
- …accountants, including many former audit firm partners, standard-setters, and other regulatory officials from the PCAOB, SEC, and Financial Accounting Standards ... into the regulators' perspectives to assist clients in understanding and responding to regulatory inquiries. We assist clients in navigating the complexities of the … 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
- 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
- Wells Fargo (New York, NY)
- …Bank Technology (CCIBT). This team supports the issuance of new Debt and Equity Securities to the Markets. This business is in a strategic growth phase and is ... Syndicate Desks to collaborate with other Sell-Side Brokers to issue new securities to Buy-Side clients, thereby raising funding for our Issuer clients. BookBuilder… more
- BMO Financial Group (New York, NY)
- …JD) and license to practice law in relevant jurisdiction. + Private practice , in-house experience or experience at regulatory body relating to the regulation ... and/or leveraged finance transactions. + Familiarity or prior experience with the federal securities laws. + Knowledge of business and regulatory environment in… 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
- MUFG (New York, NY)
- …experience of internal audit and/or equivalent of experience with the financial services industry, related markets, and related regulatory agencies. + Extensive ... Investment Banking is focused on providing a comprehensive suite of products and services to corporations that typically make up the large and mid-corporate segments… more
- Edward Jones (Westfield, NJ)
- …bachelor's degree is strongly preferred or equivalent work-related experience within the securities /financial services industry + Financial services and/or ... As a financial advisor with Edward Jones, you'll develop and grow your own practice , supported by your branch team, a home-office team and other regional financial… more
- Edward Jones (Newark, NJ)
- …succeed. A branch office administrator to help you run your branch. World-class products, services and support. And the stability of a firm built on a long-term ... deliver tailored solutions to meet your clients' unique and complex needs. Building your practice your way - with 100% support from us. **Job Overview** As a… more
- Bank of America (New York, NY)
- …management of our company. This includes accounting, financial and regulatory reporting, balance sheet management, financial planning and analysis, treasury, ... CFO organization. The GFX & LCT trading desk provides clients with market-making services in foreign exchange ("FX") spot, swaps, forwards and options in G10 and… more