- 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
- JPMorgan Chase (Chicago, IL)
- …internal partners to improve client experience and support operational transformation. This position requires an ownership mindset and the drive to critically assess ... risk policies + Resolve issues related to SWIFT formatting, cash and securities settlement instructions (SSIs) and securities settlements across markets +… more
- SMBC (Jersey City, NJ)
- …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
- Thrivent Financial (Appleton, WI)
- …states that comprise the Advisor Group. + Once FPs are assigned to this position , this position will require securities registrations, state insurance ... of authority or attained within 90 days. + State securities registered and insurance licensed and appointed in all...and receiving commissions. + Satisfactory background check and clean compliance record. + Flexibility to travel within the Advisor… more
- City National Bank (New York, NY)
- …Bank * Responsible for revenue production goals related to advisory services and securities products. * Assist in developing new relationships with PBB Bank through ... review materials at client meetings. * Risk Management and Compliance * Keep current on client's financial information while...Wealth Strategist designation. * FINRA Series 7 and 63 securities licenses and state insurance license required. * CFP… more
- Comerica (Dallas, TX)
- …of interest rate dynamics, financial markets, and regulatory requirements. Position Responsibilities:Risk Analysis and Monitoring Review interest rate risk related ... economic indicators that may affect interest rate risk. Provide oversight of securities purchases and conduct postmortem assessment of securities purchase… 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
- Santander US (Dallas, TX)
- …Corporate and Investment Bank (SCIB). Objectives are to 1) ensure compliance with anti-money laundering (AML), anti-bribery and corruption, anti-financial crime ... Your Customer (KYC) execution in accordance with the Bank compliance policies and procedures. The role plays an important...on the client experience. **Job Function Description** In this position , your goal is to deliver superior service by… more
- Regions Bank (Hoover, AL)
- … partners on mitigating risk. **Primary Responsibilities** + Ensures full compliance with Financial Industry Regulatory Agency (FINRA), Securities and ... management to ensure that systems and processes are in place for investment compliance needs + Leads recruitment, onboarding, and training initiatives to build a… more
- Federal Aviation Administration (Anchorage, AK)
- …Additional Information We may use this vacancy to fill other similar vacant positions . Position may be subject to a background investigation. A one-year ... Summary This position is located in the Office of Airports,...Safety Inspector (ACSI) responsible for 14 CFR Part 139 compliance for the Office of Airports (ARP), (Alaska). Responsibilities… more