- TD Bank (New York, NY)
- …more specific details for this role. **Job Description:** Preferred Qualifications: TD Securities ' (TDS) Governance & Control (G&C) team partners with the TDS ... risk and having effective operational controls in place. The position is expected to support and work with other...G&C leads, and Risk and Control Partners such as Compliance and Risk Management; and + Foster an environment… 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 (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
- Aston Carter (Virginia Beach, VA)
- …You will be responsible for supporting various legal functions, ensuring compliance with corporate governance requirements, and maintaining organized records for ... 10-Q, and 8-K. + Maintain corporate records and ensure compliance with corporate governance requirements. + Support in the...legal research and provide support on various corporate and securities law matters. + Liaise with external counsel and… more
- Stanford University (Stanford, CA)
- …4 days ago Requisition # 107249 **OVERVIEW:** The expected pay range for this position is $116,995 to $120,000 per annum for hybrid positions . Stanford ... its good faith estimate of what the university reasonably expects to pay for a position . The pay offered to a selected candidate will be determined based on factors… more
- Wells Fargo (Farmington, UT)
- …terms and/or taking an application for a dwelling secured transaction. As such, this position requires compliance with the SAFE. Mortgage Licensing Act of 2008 ... provides the MU4R questions and registration required for employment in this position * Individuals in Loan Originator (LO) positions must meet… more
- Securities and Exchange Commission (Washington, DC)
- …collaboration and advising on legal and policy issues related to compliance deficiencies and regulatory violations. Carrying out supervisory duties, such as ... and applying the provisions and providing sound advice regarding the federal securities laws (for example, the Investment Company Act, the Investment Advisers Act,… more
- Raymond James Financial, Inc. (Denver, CO)
- …and may propose new policies or procedures regarding risk, adhering to compliance and operational risk controls in accordance with company and regulatory standards. ... these OSJ locations. + Monitors and keeps up to date with securities /advisory regulations and applies them accordingly. + Interprets, applies and recommends changes… more
- NatWest Markets (Stamford, CT)
- …_This job description is intended to describe the general requirements for the position . It is not a complete statement of duties, responsibilities, or requirements ... problem solve. + Partner with global Oversight and regional second line Compliance teams to maintain effective oversight of financial crime risk frameworks, systems,… more
- Raymond James Financial, Inc. (Memphis, TN)
- **_Hybrid Work Environment:_** _This position follows our hybrid-friendly schedule, so you get the best of both worlds - flexibility and collaboration. In office ... + Interviews and hires associates who possess the core competencies of the position to strengthen the department and mitigate turnover + Serves as knowledge resource… more