- SMBC (Charlotte, NC)
- …SMBC Group offers a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has more than 130 ... Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets, Inc., SMBC Rail...the Oracle platform due to rapid growth in SMBC legal entities and ledgers, including the formation of Bank… more
- Huntington National Bank (Charlotte, NC)
- …is suitable for clients and in compliance with all state and federal securities regulations. + Works closely with internal partners to build referral channels and ... Adheres to bank policies and procedures and complies with legal and regulatory requirements. + Accountable for risk management,...+ Bachelor's Degree + 5 or more years of securities industry experience, preferably in a banking environment +… more
- TD Bank (Charlotte, NC)
- …by partnering with US Wealth Senior Leadership Team, Federated Partners (Compliance, Legal ), and AMCB Consumer Bank teams to ensure that all regulatory, compliance, ... compliance and regulatory issues (OCC, SEC, FINRA, and State Securities Regulators) + In-depth knowledge of OCC, RIA and...and is subject to the requirements of FINRA and Securities Laws. May (or may not) be a registered… more
- TD Bank (Charlotte, NC)
- …platforms handle + Offers best execution on large block trades or illiquid securities + Assists in the distribution of structured notes, derivatives, custom fixed ... loss/error + Serves as regional resource and support on legal , administrative, procedural, and risk issues **Education & Experience:**...and is subject to the requirements of FINRA and Securities Laws. May (or may not) be a registered… more
- CGI Technologies and Solutions, Inc. (Cary, NC)
- …APIs, Spring, and Oracle, and strong domain knowledge in Fixed Income, Mortgages, Securities , and Loans. This is a great opportunity to work on impactful financial ... Have working project domain experience in Fixed Income, Mortgage, Securities or Loans. * Strong tech skills to handle...or action, including an investigation conducted by the employer, or (c) consistent with CGI's legal duty to furnish… more
- CGI Technologies and Solutions, Inc. (Cary, NC)
- …opportunity to work on complex, high-value projects in the Fixed Income, Mortgage, Securities , and Loans space, making a real impact on the business. You'll bring ... have working project domain experience in Fixed Income, Mortgage, Securities or Loans. * Strong tech skills to handle...or action, including an investigation conducted by the employer, or (c) consistent with CGI's legal duty to furnish… more
- SMBC (Charlotte, NC)
- …SMBC Group offers a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has more than 130 ... in the Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets, Inc., SMBC MANUBANK, JRI America, Inc.,… more
- SMBC (Charlotte, NC)
- …SMBC Group offers a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has more than 130 ... in the Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets, Inc., SMBC MANUBANK, JRI America, Inc.,… more
- SMBC (Charlotte, NC)
- …SMBC Group offers a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has more than 130 ... in the Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets, Inc., SMBC MANUBANK, JRI America, Inc.,… more
- Equitable (Charlotte, NC)
- …and needs through the application of appropriate communication behaviors. **Insurance Legal and Regulatory Environment:** Knowledge of federal, state and local laws ... follow the organization-specific policies and guidelines, affecting business practices. ** Securities Laws and Regulations (SLR) Compliance:** Knowledge of … more