- Securities and Exchange Commission (Boston, MA)
- Summary The Division of Examinations is hiring a Supervisory Securities Compliance Examiner in the Boston Regional Office. Responsibilities At the ... our commitment to public service. The mission of the Division of Examinations is to protect investors, ensure market...which the Commission has regulatory authority. As a Supervisory Securities Compliance Examiner, you will: Direct employees… more
- Securities and Exchange Commission (Los Angeles, CA)
- … Division of Examinations- Los Angeles Regional Office is hiring a Supervisory Securities Compliance Examiner in Los Angeles, CA. Responsibilities At the ... our commitment to public service. The mission of the Division of Examinations is to protect investors, ensure market...which the Commission has regulatory authority. As a Supervisory Securities Compliance Examiner, you will: Direct employees… more
- Siebert Williams Shank (New York, NY)
- …bureaucracy and process burden * Provide compliance support for the Municipal Securities Division , with a focus on the Public Finance underwriting business * ... risk management, provide advice on and oversight of SWS's compliance with US securities laws and regulations through critical thinking and proper application.… more
- Wells Fargo (Charlotte, NC)
- **About this role:** Wells Fargo is seeking a Securities Operations Associate supporting Commercial Paid Loans within Wealth & Investment Management Operation ... division . Learn more about the career areas and lines...tasks and help identify opportunities for process improvements within Securities Operations + Review basic or tactical issues, policies… more
- Wells Fargo (Charlotte, NC)
- …money movement specialist within WIM (Wealth & Investment Management) Operations division . This position is responsible for reviewing money movement transactions ... lifecycle support initiatives and identify opportunity for process improvements within Securities Operations + Review and analyze basic or tactical functional… more
- Commerce Bank (Kansas City, MO)
- …each client's financial journey is uniquely crafted for their goals. Commerce Trust is a division of Commerce Bank. About This Job The main purpose of this job is to ... Asset Types and Collateral Pricing requirements Complete all Asset Compliance Requirements such as Regulatory ASC820 Reporting, Stale Pricing Requirements,… more
- Morgan Stanley (Baltimore, MD)
- We are seeking a Director-level business auditor to join our Institutional Securities Fixed Income audit team. The candidate will execute and lead assurance ... and Client Financing business operating and control environment. The Internal Audit Division (IAD) drives attention and resources to vulnerabilities by providing an… more
- Mizuho Corporate Bank (New York, NY)
- …Singapore, IADA reports to and composes the overseas arm of MHBK's Internal Audit Division (IAD). Job Summary Develop and execute a robust audit program of Mizuho's ... rule). + Knowledge of financial services operations, finance, liquidity, compliance , conduct, financial crime, technology, credit risk, market risk, regulatory… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …and continuing education options. **Job Summary:** The Field Supervision Manager/ Division Supervision Manager (FSM/DSM) oversees a broad range of supervisory ... and risk functions. Working closely with the Division Supervision Officer (DSO), the FSM/DSM ensures a controlled environment by adhering to business ethics,… more
- Bureau of Engraving and Printing (Washington, DC)
- …(Manager, Internal Review Division ), you will direct the Internal Review Division (IRD), Office of Compliance (OC), Bureau of Engraving and Printing ... management systems. Responsibilities As a Supervisory Accountant (Manager, Internal Review Division ), you will: Plan, direct, and coordinate the functions and… more
- Federal Reserve Bank (Chicago, IL)
- …immediate opening for a General Accounting Supervisor on the Corporate Accounting and Compliance team. Leading a small team of Accountants, you will oversee general ... accounting and compliance related tasks at the Chicago Fed. You will...employees, their spouses/domestic partners, and minor children from owning securities , such as stock, of banks or savings associations… more
- SMBC (New York, NY)
- … compliance processes. SCOPE Provide advice and oversight of SMBC's infrastructure compliance program, including bank, securities and swap dealer laws and ... reports. **Role Objectives** + Coordinate bank, broker-dealer, and swap dealer regulatory Compliance programs across SMBC's Americas Division for all support… more
- Capital One (New York, NY)
- NYC 299 Park Avenue (22957), United States of America, New York, New York Compliance Advisor Senior Manager The Compliance Advisor Senior Manager will report ... directly to the Commercial Broker Dealer Chief Compliance Officer. This role will support three institutional FINRA...support to the Capital Markets line of business, a division within the Commercial Bank of Capital One, as… more
- Securities and Exchange Commission (Chicago, IL)
- …The Senior Officer-Associate Regional Director position is in the Chicago Regional Office- Division of Examinations, located in Chicago, IL. This position is open to ... current SEC employees only. Responsibilities At the Securities and Exchange Commission (SEC), we are committed to...backgrounds who share our commitment to public service. The Division of Examinations conducts the SEC's National Exam Program.… more
- Securities and Exchange Commission (Chicago, IL)
- …The Senior Officer-Associate Regional Director position is in the Chicago Regional Office- Division of Examinations, located in Chicago, IL. This position is open to ... current SEC employees only. Responsibilities At the Securities and Exchange Commission (SEC), we are committed to...backgrounds who share our commitment to public service. The Division of Examinations conducts the SEC's National Exam Program.… more
- Fifth Third Bank, NA (Charlotte, NC)
- …Discover a career in banking at Fifth Third Bank. GENERAL FUNCTION: Chief Compliance Officer, this position is responsible for ensuring policies and procedures for ... of the Investment Advisers Act of 1940 and other securities laws. The covered regulations include, but are not...the firms' implementation of and adherence to all regulatory compliance requirements; and educate, update and train the Registered… more
- SMBC (Jersey City, NJ)
- …for the Compliance Risk Assessment team ("CRA team") within the Compliance Department Americas Division ("CPAD"), reporting to the Executive Director, Head ... a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has...of Risk and Control Assessment. As a Compliance Risk Assessment ("CRA") Vice President, this role will… more
- S&P Global (New York, NY)
- …Assistant to provide support to the New York office of the Ratings Compliance & Risk department, reporting to the Global Chief Matrix Officer, including support ... for the members of the Compliance & Risk senior management team,...businesses, governments, and institutions. S&P Global Ratings is a division of S&P Global (NYSE: SPGI). S&P Global is… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …and Responsibilities** * Manages department, associates, budget, reporting structure, and division of responsibilities within the FHC Compliance department. * ... Skills, and Abilities** **Knowledge of** * Concepts, practices, and procedures of securities industry compliance . * Federal Reserve Bank Regulations governing… more
- Securities and Exchange Commission (Boston, MA)
- …a Supervisory Attorney-Adviser, you will: Direct employees responsible for conducting securities compliance examinations, and participate in planning and ... Summary The Division of Examinations is hiring a Supervisory Attorney-Adviser...level. Specialized experience includes: Providing legal advice on federal securities laws and compliance issues as they… more
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