- Raymond James Financial, Inc. (St. Petersburg, FL)
- …Skills** **Basic** **k** **nowledge of** **:** + Concepts, practices, and procedures of securities industry and/or banking compliance reviews. + AML laws and ... Investigations field with a graduate date of May/June 2027. **Location:** Most positions are based in St. Petersburg with other available locations depending on… more
- AON (Fort Washington, PA)
- …Plans (LIDP) Committee as part of the account management team. This position requires actively evaluating the effectiveness of the Trusts product portfolio, ... evolves, so do the needs of AICPA members. This position is integral to Aon's mission of assisting CPAs...role, candidates must possess Life, Accident, and Health licenses. Securities 6 and 63 licenses are preferred, as they… more
- Thrivent Financial (Faribault, MN)
- …a resource to Thrivent Financial for Lutherans Financial Advisors. Individuals in this position will be focused on securities and investment advisory products ... This position provides licensed financial and non-financial support to...information gathering that will be used with making suitable securities product recommendations or providing appropriate investment advice (eg… more
- TD Bank (New York, NY)
- …who can provide you more specific details for this role. **Job Description:** ** Position Title:** Vice President - Finance **Business Unit:** TD Securities ... **Hours:** M - F 8:30 - 5:00 Overview TD Securities US Finance is a part of the wider...+ Manage Governance related tasks/mandate and work closely with Compliance and 1B business partners to understand and satisfy… more
- Commonwealth of Pennsylvania (PA)
- …Fiscal Management Specialist 1 position at the PA Department of Banking and Securities (DoBS) the career for you? As the state regulator of financial services in ... Full-Time Job Number CS-2025-33051-08110 Department Department of Banking & Securities Division BG Fscl Spt Srvs Off Opening Date...Closing Date 9/18/2025 11:59 PM Eastern Job Code 08110 Position Number 00079310 Union Non Union Bargaining Unit A3… more
- Robert Half Management Resources (Charlotte, NC)
- …on a long-term contract basis remote. This role requires deep expertise in securities lending, sponsor repos, and risk management strategies, with a focus on ... counterparty risk and regulatory compliance . The ideal candidate will provide critical guidance on financial risk metrics and help address gaps in risk monitoring… more
- Wells Fargo (New York, NY)
- …successful completion and clearing of a background check. Internal transfers are subject to compliance with 17 CFR 240.17f-2 of the Securities Exchange Act of ... **About this role:** Wells Fargo Securities seeks an experienced Supervisory Analyst (SA) to...notes, reports, initiations, decks, models and coverage launches for compliance with FINRA rules and department policies, as well… more
- TD Bank (New York, NY)
- …across various functions including the Business, Risk, Product Control, Technology, and Compliance . This position will require an individual who can collaborate ... is a first line of defense team responsible for providing risk and compliance advice and oversight to ensure our TDS business partners have adequately considered,… more
- Eliassen Group (Boston, MA)
- …user acceptance testing for trading and post-trade systems. + Ensure regulatory compliance by incorporating IIROC and Canadian securities requirements into ... with the analytical rigor and detail orientation of a Business Analyst. This position will focus on complex and large-scale brokerage trading platforms, with an… more
- Securities and Exchange Commission (Washington, DC)
- …advice concerning a variety of complex legal issues involving the federal securities laws, the Constitution, the Administrative Procedure Act, and the Bankruptcy ... DC. Primary duties include: Directs appellate court litigation involving the securities laws, the Constitution, and other federal statutes and offers legal… more