- 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)
- …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
- 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
- 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
- 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
- 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)
- …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
- 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 (Jersey City, NJ)
- …are appropriately designed to mitigate key risks and operate effectively in practice . Responsibilities may include Quality Assurance (QA) or Portfolio Oversight for ... a designated entity, maintaining alignment with regulatory expectations and supporting the future state initiatives. **Responsibilities:** **Portfolio Oversight… more
- BMO Financial Group (New York, NY)
- …candidate will contribute to initiatives involving legislative advocacy, regulatory developments, rulemaking processes, and external communications. We are ... research and analytical skills, a solid understanding of the regulatory and policy environment, and a demonstrated ability to...Degree in law (LLB or JD) and license to practice law in Illinois + 3+ years of experience… 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