- State of Montana (Helena, MT)
- The Montana State Auditor, Commissioner of Securities and Insurance (CSI) is seeking applicants for an *Attorney *in our Legal Bureau. *Why Work with Us?* The CSI is ... and certifications. To learn more about the CSI, the division , benefits, and this position, please continue to read...all Montanans by regulating two of the state's largest industries- securities and insurance. We strive to foster a thriving… 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
- MUFG (Tempe, AZ)
- …and ensuring that compliance events are brought to the attention of Division Heads across Compliance . + Conduct periodic review of thresholds and ensure ... details. **_Job Summary:_** Reporting to the Head of Core Compliance Practices for Americas, you will lead various activities...a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2)… more
- Securities and Exchange Commission (Washington, DC)
- …Office of the General Counsel provides legal analysis and advice on federal securities laws, administrative procedure, and other applicable laws to the SEC. The ... will serve as Assistant General Counsel and will focus on matters from the Division of Trading and Markets. This position reports to the Associate General Counsel… more
- TD Bank (New York, NY)
- …**Job Description:** **Position Title:** Vice President - Finance **Business Unit:** TD Securities ** Division /Region:** TD Securities USA (New York) **Report ... **Hours:** M - F 8:30 - 5:00 Overview TD Securities US Finance is a part of the wider...+ Manage Governance related tasks/mandate and work closely with Compliance and 1B business partners to understand and satisfy… more
- MUFG (Tempe, AZ)
- …"Lending Transactions Risk Assessor" or "LTRA") within the Global Financial Crimes Division ("GFCD"). The LTRA helps MUFG assess the financial crimes compliance ... financial institution setting; + Direct experience in corporate lending, business compliance advisory, or other risk management role involving business activities; +… more
- Fifth Third Bank, NA (Cincinnati, OH)
- …liquidity in specified market sectors. The Financial Institution Group within our Securities division provides origination, trading and distribution of Preferred ... banking at Fifth Third Bank. GENERAL FUNCTION: Fifth Third Securities provides issuers and investors with the tools they...a timely manner and ensure transactions adhere to FTS compliance standards + File appropriate regulatory reports on timely… more
- M&T Bank (Buffalo, NY)
- …strategic management of the valuation and risk management of the bank's securities and derivatives arising from balance sheet hedging, customer back-to-back business ... + Actively participates at the Corporation's Governance Committees + Manage internal compliance with MRMD and ensure compliance with model oversight governance… more
- S&P Global (New York, NY)
- …ratings outstanding on government, corporate, financial sector and structured finance entities and securities . We offer an independent view of the market built on a ... businesses, governments, and institutions. S&P Global Ratings is a division of S&P Global (NYSE: SPGI). S&P Global is...innovation and power global markets. S&P Global has a Securities Disclosure and Trading Policy ("the Policy") that seeks… more
- Edward Jones (Tempe, AZ)
- …may close early due to the volume of applicants. 1. The Branch Development division at Edward Jones hires, trains, supports and develops the branch team to deliver ... of customer service + Keep the department apprised of any Compliance /Field Supervision concerns Edward Jones' compensation and benefits package includes medical… more