- 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)
- …specific details for this role. **Job Description:** The role will be part of TD Securities Business Regulatory Initiatives (BRI) team which plays a lead role in ... to regulation and good practice principles for all jurisdictions in which TD Securities operates. BRI is a first line (1A) team which reports into the Business.… 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
- TD Bank (New York, NY)
- …will be tailored to resolving issues with consideration to regulatory requirements, regulatory and firm risk and industry best practice . In addition, this ... + Advise business areas on firm policies and procedures, regulatory requirements and industry best practice . +...such as Title 12. + Strong knowledge of applicable securities laws, rules and regulations with the ability to… 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
- The Brattle Group (New York, NY)
- …for our clients. **TYPICAL CASES IN SECURITIES (CORPORATE FINANCE)** In the Securities practice , you will work on cases such as: + **Valuation:** Creating ... New York City, NY. office and primarily support our Bankruptcy and Restructuring practice . **ABOUT THE BRATTLE GROUP AND ECONOMIC CONSULTING** The Brattle Group is a… more
- JPMorgan Chase (New York, NY)
- …and external legal colleagues as well as regulators, including the US Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA) ... at a law firm, regulator, and/or financial institution advising on broker-dealer regulatory issues, cash equity trading issues and securities transactions +… more
- SMBC (Jersey City, NJ)
- …with a 400-year history, SMBC Group offers a diverse range of financial services , including banking, leasing, securities , credit cards, and consumer finance. The ... Group offers a range of commercial and investment banking services to its corporate, institutional, and municipal clients. It...Data Quality management, Lineage - in line with best practice and regulatory expectations + Work across… 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
- New York State Civil Service (New York, NY)
- …Estate Finance Bureau - New York City Assistant Attorney General, Regulatory Review Section Reference No. REF/RRS_AAG_NYC_3826Application Deadline is October 24, ... is seeking an attorney with experience in real estate, commercial transactions, and/or regulatory compliance to serve as an Assistant Attorney General in the … 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
- JPMorgan Chase (Jersey City, NJ)
- …+ Knowledge of the Investment Advisers Act of 1940 and relevant aspects of the Securities Act. + Ability to advise on regulatory landscape and developments. + ... bank and Chase branches. You will guide our business through ever-evolving regulatory landscapes, ensuring compliance and excellence. Elevate your career with us and… more
- Truist (New York, NY)
- …document moderately complex application solutions that meet defined Capital Markets Securities business requirements and meets the enterprise and Capital Markets ... specific performance and Securities Industry architectural standards. Focus on applications and business...information systems and ability to apply that knowledge in practice 3. Ability to manage competing priorities 4. Ability… 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. + Experience ... within industry best practices, applicable regulations, and internal and external professional practice expectations. + Act as a leader and role model and… more
- Mizuho Corporate Bank (New York, NY)
- …opportunities for improvement, increasing efficiency, and ensuring that the firm meets regulatory expectations and industry best practice Assist with Metrics ... adherence to controls and improve the supervisory control framework Assist in Regulatory Change Management Process. Keep abreast of regulatory changes, new… more