- SMBC (Jersey City, NJ)
- …offers a competitive portfolio of benefits to its employees. **Role Description** SMBC's Compliance Department Americas Division is seeking a Vice President of ... SMBC Group offers a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has more than 130… more
- State of Arkansas (Little Rock, AR)
- …our infrastructure, creating a better quality of life for all Arkansans. The Securities Examiner (Corporate Finance Division ) will be responsible for the ... (ii) securities notice filings; and (iii) exemptions to determine compliance with applicable rules and guidelines. + Reviewing documents that include, but… more
- MUFG (Irving, TX)
- …recruitment team will provide more details. As an AML/FCC subject matter expert in Securities , s/he is responsible for advising the Global Head of AML Advisory and ... to identify and manage the AML risks posed by Securities clients and products. S/he advises on and monitors...coordinates with other areas of the Global Financial Crimes Division to build partnerships and best practices. + Regularly… more
- Truist (Wilson, NC)
- …risk. + Manage selected vendor processes that have been outsourced that perform securities related work including compliance with Service Level Agreements (SLAs) ... the following job description:** JOB SUMMARY This position supports the Securities Operations unit for the Wealth Management business. This includes supporting… more
- TD Bank (New York, NY)
- …We are looking to hire a VP in Private Securitization for the Asset-Backed Securities Group within the Global Markets division at TD Securities . ... York, New York, United States of America **Hours:** 40 **Line of Business:** TD Securities **Pay Detail:** $225,000 - $250,000 USD TD is committed to providing fair… 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
- State of Colorado (Lakewood, CO)
- CRIMINAL INVESTIGATOR V (Supervisor) Division of Gaming Print (https://www.governmentjobs.com/careers/colorado/jobs/newprint/4803714) Apply CRIMINAL INVESTIGATOR V ... (Supervisor) Division of Gaming Salary $96,396.00 - $115,692.00 Annually Location...and investigation of publicly traded companies, and on the securities laws of state, federal, and foreign governments; to… more
- State of Colorado (Lakewood, CO)
- …V - (Cyber Security Supervisor Sports Betting) Division of Gaming Print (https://www.governmentjobs.com/careers/colorado/jobs/newprint/4795010) Apply CRIMINAL ... INVESTIGATOR V - (Cyber Security Supervisor Sports Betting) Division of Gaming Salary $96,396.00 - $106,284.00 Annually Location Lakewood, CO Job Type Full Time Job… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …actions are taken and issues are remediated + Liaises with the Legal and Compliance Division with customer complaints and litigation + Ensure proper procedures ... of supervisory, compliance , and risk functions. In conjunction with the Division Supervision Officer, the Division Supervision Manager has accountability for… 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
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …sales practices of branch managers and their financial advisors in the region for compliance with all federal and state regulations as well as RJFS policies. * Takes ... **Knowledge of** * Company's working structure, policies, mission, strategies, and compliance guidelines. * Investment concepts, practices and procedures used in the… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …via webinars, and newsletters. * Conducts complex research and reports findings to Compliance , Legal, Division Supervision, and Division Management partners. ... Skills, and Abilities** **Knowledge of:** * Concepts, practices, and procedures of securities industry compliance reviews. * Rules and regulations of the… more
- State of Georgia (Fulton County, GA)
- …Acts to Division staff members, including but not limited to Compliance Examinations staff, registration analysts, licensure analysts, and Division and ... + Assist designated Division staff with the registrations and compliance inspections of registered entities, including but not limited to charity organizations,… more
- SMBC (New York, NY)
- …Advisory, you will: + Coordinate bank, broker-dealer, and swap dealer regulatory Compliance programs across SMBC's Americas Division for all support functions. ... focus on regulatory compliance . + Deep understanding of US banking and securities laws to provide benchmarking insights and identify compliance control gaps.… more
- Morgan Stanley (New York, NY)
- …Interest Rate and Foreign Exchange Products and Distribution. Professionals in the Division assess and actively manage risk, trade securities , and structure ... Fixed Income Division and focused on Credit Products, including Municipal Securities and Structured Products Group ("SPG"). The Business Control Unit within FID… more
- S&P Global (New York, NY)
- …**Grade Level (for internal use):** 12 **The Team:** The Technology Risk & Compliance Officer will work closely with the Ratings Technology and Data Organization to ... provide advice and guidance related to risk, regulatory and compliance . The role will be a point of escalation...businesses, governments, and institutions. S&P Global Ratings is a division of S&P Global (NYSE: SPGI). S&P Global is… 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. (CO)
- …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
- Federal Aviation Administration (El Segundo, CA)
- …Airports Compliance Specialist for the Office of Airports, Airports Division Western Pacific Region responsible for assessing and evaluating complaints in ... is located in the Office of Airports, Western Pacific Regional Airports Division , AWP-600, Safety and Standards Branch, AWP-620. The Safety and Standards Branch… more
- Edward Jones (St. Louis, MO)
- …on legal regulatory issues, including broker-dealer regulation, with a focus on compliance with securities laws, rules, and regulations, including broker-dealer ... with you, we should talk. **Job Overview** **Position Schedule:** Full-Time Our Legal Division is expanding to enhance solutions for millions of clients and their… more