- JPMorgan Chase (Chicago, IL)
- …+ Beginning Oct. 1, 2018, if you are not currently registered, the Securities Industry Essential (SIE) exam, FINRA Series 6/7, state registration (including 63 or ... completed within 180 days of starting the role + Compliance with Dodd Frank/Truth in Lending Act* + High...continued employment in this position would be contingent upon compliance with Truth in Lending Act/Dodd Frank Loan Originator… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …via webinars, and newsletters. + Conducts complex research and reports findings to Compliance , Legal, Division Supervision, and Division Management partners. ... Skills, and Abilities** **Knowledge of:** + Concepts, practices, and procedures of securities industry compliance reviews. + Rules and regulations of the… more
- State of Georgia (Fulton County, GA)
- …Acts to Division staff members, including but not limited to Compliance Examinations staff, registration analysts, licensure analysts, and Division and ... + Assist designated Division staff with the registrations and compliance inspections of registered entities, including but not limited to charity organizations,… 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
- Aflac (New York, NY)
- VP, Investment Compliance Manager The Company: Aflac Asset Mgt. LLC The Location: New York City, NY, US, 10005 The Division : Global Investment Job Id: 8034 About ... Advisers Act of 1940, Investment Company Act of 1940, Securities Act of 1933 and Securities Exchange...registered investment advisers is a must. + Proactively identify compliance issues and obtain workable resolution. Make a broad… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …will lead and oversee the design, implementation, and supervision of a comprehensive compliance program for the Capital Markets division . This role requires ... with business objectives, ensuring operational excellence. **Advanced Knowledge of:** + Securities industry compliance practices, concepts, and procedures. +… more
- S&P Global (New York, NY)
- **About the Role:** **Grade Level (for internal use):** 11 ** Compliance & Control, Senior Analyst - Ratings** **The Role** The Senior Analyst role is based in New ... York and will be responsible for supporting the regulatory Compliance Program for the North American Structured Finance and...businesses, governments, and institutions. S&P Global Ratings is a division of S&P Global (NYSE: SPGI). S&P Global is… more
- SMBC (Jersey City, NJ)
- …a competitive portfolio of benefits to its employees. **Role Description** SMBC's Compliance Department Americas Division ("CPAD") is seeking a Vice President ... a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has...of Financial Crime Compliance ("FCC") Testing. The Vice President will be responsible… more
- Berkshire Bank (Boston, MA)
- …and maintain the compliance and regulatory processes for the Asset Management division . This position will provide leadership and strategy for the compliance ... Division : Asset Management Department: Berkshire Wealth Management Reports...and the Berkshire Banc Investment Services business. The VP, Compliance Officer is also responsible for understanding and advising… more
- SMBC (Jersey City, NJ)
- … Compliance functions. This is a junior to mid-level role in the Compliance Department Americas Division (CPAD) Data Governance team. This individual is ... SMBC Group offers a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has more than 130… more