- JPMorgan Chase (Los Angeles, CA)
- …+ Provide end-to-end leadership by partnering cross-functionally with banking, risk, compliance , legal, marketing, etc; in addition to other lines of business ... Ability to mobilize internal networks and resources + FINRA securities licenses 79, 63 and 24 required for the...and problem solving abilities FEDERAL DEPOSIT INSURANCE ACT: This position is subject to Section 19 of the Federal… more
- CS Energy (Syracuse, NY)
- …and maintain project schedule to meet all EPC milestones. + Ensure the compliance with all project permitting and regulatory requirements such as SWPPP, local ... storage projects across the United States. Owned by American Securities , a leading US private equity firm, CS Energy...Pay Program + Project Incentive Bonus Program (based on position eligibility) + Per-diem Program for Field Employees ((based… more
- M&T Bank (Wilmington, DE)
- …ensure client goals and objectives are achieved. + Adhere to applicable compliance /operational risk controls in accordance with Company or regulatory standards and ... Act. + Complete other related duties as assigned. **Scope of Responsibilities:** This position has a direct impact on revenue growth of the Wealth Advisory business… more
- Equitable (Troy, MI)
- …support needs. + Administering New Business Training + Proactively partner with compliance and licensing partners on best practices when reviewing new business + ... resources for Advisors The base salary range for this position is $56,000 - $60,000. Actual base salaries vary...office tools * Experience in or knowledge of insurance, securities , or financial services * Good judgement and decision-making… more
- Bank of America (Wayzata, MN)
- …regulatory and compliance requirements of the Line of Business. This position is subject to SAFE Act registration requirements. Pursuant to the SAFE Act ... registry system and remain in good standing. Since this position requires SAFE Act registration, employees are required to...ranging from standard to custom mortgage products and other securities -based lending. + A bachelor's degree in business or… more
- MUFG (Tampa, FL)
- …the Controls Testing Leader in the Operations Risk & Controls Office, this position is responsible for creating and updating control test scripts, executing control ... in business areas and processes within Operations. Given the nature of this position , it is critical the candidate can produce high-quality workpapers to demonstrate… more
- City National Bank (Los Angeles, CA)
- If you are hired to this position , you will be employed by Magnit Global. You will not be employed by City National Bank. *The Opportunity* The Financial Services ... to ensure efficient and timely workflow with special regards to service delivery, compliance and risk factors for the firm. * Establishes internal or external… more
- Deluxe (Minneapolis, MN)
- …role involves interaction with the New York Stock Exchange (NYSE) and the Securities and Exchange Commission (SEC), and regularly, the Board of Directors. The ... + Prepare, review, and process the Executive's expense reports in compliance with company policies, ensuring accurate coding, documentation, and timely submission.… more
- Edward Jones (St. Louis, MO)
- …individuals. If these words resonate with you, we should talk. **Job Overview** ** Position Schedule:** Full-Time This job posting is anticipated to remain open for ... when former financial advisors (FAs) are unable to meet that obligation. The position requires flexibility, reliability and traveling full time to work in open… more
- Navy Federal Credit Union (San Diego, CA)
- …offerings. + Develop an internal pipeline for smaller dollar volume accounts in compliance with Navy Federal and NFIS policies and procedures. + Establish, maintain, ... sources. + Execute customer and broker purchase/sales orders of securities for current/new clients. + Identify prospective participation partners/opportunities… more