- TD Bank (New York, NY)
- …York, New York, United States of America **Hours:** 40 **Line of Business:** TD Securities **Pay Detail:** $170,000 - $208,000 USD TD is committed to providing fair ... you more specific details for this role. **Job Description:** ** Position :** Director & Counsel, US Tax Planning, TD Bank,...871(m), tax treaties, structured notes, BEAT, Pillar 2, REIT compliance , branch taxation issues + Providing tax advice with… more
- Federal Reserve Bank (Philadelphia, PA)
- …Cash handling experience is a plus, it is not a requirement for this position . Consideration will also be given to individuals who have warehouse or manufacturing ... the destruction and distribution of currency according to established guidelines. **This position is for the 1st shift:** Monday- Friday 7:00 AM - approximately… more
- Wells Fargo (Los Angeles, CA)
- …from a manager and exercise independent judgment while developing understanding of compliance and risk management requirements for the supported area + Collaborate ... following: volunteerism, student organization involvement, study abroad program(s), leadership position (s), non-profit involvement + Pursuing a bachelor's degree. All… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …annuity contract owners and financial advisors of the firm. The person in this position must understand all aspects of variable annuity products and have the ability ... business. * Ensures firm and regulatory policies are followed within compliance standards. * Performs other duties and responsibilities as assigned.… more
- 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
- SMBC (White Plains, 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
- Truist (Charlotte, NC)
- …documents effectively communicate with stakeholders, while appropriately reflecting Truist's financial position and results of operations in compliance with GAAP ... **The position is described below. If you want to...for all assigned lines of business and functions, ensuring compliance with GAAP and regulatory requirements. Such complex issues… more
- Wells Fargo (New York, NY)
- …Brokerage Support team, and Client Associates in various aspects of operations, compliance , and technology + Collaborate with the Brokerage Support Manager and other ... projects require, ensuring consistent and efficient execution of the firms Operational, Compliance policies and procedures + Be responsible for execution of various… more
- Wells Fargo (Charlotte, NC)
- …maintaining appropriate FINRA license(s) is required for ongoing employment in this position . Compliance with state law registration and licensing requirements ... responsible for direct support of branches and their responsibilities for remote compliance supervision of Private Client Group (PCG) and Wealth Brokerage Services,… more
- Wells Fargo (Charlotte, NC)
- …Consultant and the AI Middle Office Support Team + Ensure adherence to compliance regulations and policies within the Alternative Investments product area + Lead and ... partner on projects teams + Ensure adherence to compliance regulations and policies within Business Growth Strategy functional...(FINRA) license(s) is required for ongoing employment in this position . FINRA Series 7 and 63 (or 66) examinations,… more