- SMBC (New York, NY)
- …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
- Mizuho Corporate Bank (New York, NY)
- …and implication in the onboarding process + Understand policy changes socialized by Compliance and implications to the onboarding process + Manage end to end ... Onboarding coordination for OTC Derivatives and Equities Derivatives business, Securities and Bank onboardings for Corporate clients + Produce Metrics and support… more
- Wells Fargo (Charlotte, NC)
- …Controls and COO teams as well as other support functions (eg, Compliance , Testing, Audit, Risk, Operations, Technology, Legal, and Human Resources). Their goal ... framework in supervision coverage, and the program is in compliance with applicable rules, regulations, and industry best practices....subject to comply with 17 CRF 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article… more
- Raymond James Financial, Inc. (New York, NY)
- …essential risk context. . Reports risk-related data including risk exposure, compliance to risk policies, and effectiveness of current risk management strategies ... provide advice on such documentation negotiation from the credit perspective . Securities /Private Client and Asset Management products and an understanding of the… more
- Chenega Corporation (Washington, DC)
- …a high security facility providing physical security for the protection of BEP securities , its personnel and visitors. PSOs will work closely with BEP employees in ... + Clear background check, including DOJ Security Risk Assessment and NACI. _In compliance with federal law, all persons hired will be required to verify identity… more
- AON (Chicago, IL)
- …The Compliance Analyst's primary role is to assist the Deputy Chief Compliance Officer and team with the day-to-day administration of AIUSA's compliance ... Inc. ("AIUSA") is a registered investment adviser with the Securities and Exchange Commission ("SEC"). Aon's investment consulting business...Analyst's primary role is to assist the Deputy Chief Compliance Officer and team with the day-to-day… more
- SMBC (New York, NY)
- …of the broker dealer's compliance risk and is represented by the Chief Compliance Officer as either a member or observer of various committees such as ... portfolio of benefits to its employees. **Role Description** The Compliance group within SMBC Nikko Securities Inc....Description** The Compliance group within SMBC Nikko Securities Inc. serves as a regulatory advisory function to… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …and Abilities** **Advanced Knowledge of:** + Concepts, practices, and procedures of securities industry and/or banking compliance . + Rules and regulations of: ... **Essential Duties and Responsibilities** + Support the Chief Privacy Officer (CPO) to define and achieve the strategic vision for the corporate Privacy Program. +… more
- Unity Technologies (San Francisco, CA)
- …documents, including periodic and current reports, and proxy statements. + Provide securities law advice and compliance guidance for earnings releases, investor ... Unity is looking for a Vice President, Corporate and Securities to join its Legal team. In this role,...role reports to the Senior Vice President, Chief Legal Officer of Unity, and will be located in either… more
- Scotiabank (New York, NY)
- …Capital USA ("SCUSA") Futures Commission Merchant ("FCM"), and Security-Based Swap Dealer Chief Compliance Officer in: + the business as usual execution of the ... Senior Manager, Swap Dealer and Derivatives Compliance **Requisition ID:** 230322 **Salary Range:** 117,400.00 - 224,700.00 _Please note that the Salary Range shown… more