- Manulife (Boston, MA)
- …Savings Plan and variable contract insurance products. MJHBS is a retail Broker- Dealer approved to engage in private placements, mutual funds and variable life ... investments and personal financial goals. Reporting to the Compliance Director, the Senior Compliance Consultant is a dynamic and multi-faceted role. This position… more
- JPMorgan Chase (Plano, TX)
- JPMorgan Securities LLC (JPMS LLC) is a licensed broker- dealer and investment adviser registered with the SEC and FINRA. It is also a Municipal Securities Dealer ... Merchant, Commodity Pool Operator, and registered as a swap dealer and Security-Based Swap Dealer . JPMS LLC...Control Manager, you'll have the opportunity to collaborate with senior stakeholders and drive compliance initiatives that impact our… more
- Huntington National Bank (Houston, TX)
- …related products and services Be responsible for direct sales to dealers, servicing dealer customer and training of various dealership staff. + Build and maintain ... portfolio of business by identifying new opportunities and demonstrating value to dealer customers, which requires a thorough knowledge of bank and competitor… more
- Wells Fargo (Charlotte, NC)
- **About this role:** Wells Fargo is seeking a Senior Counsel in the CIB Regulatory Legal and Governance Section of the Legal Department to support CIB businesses and ... support teams on securities regulatory issues, broker- dealer matters and assessing the impact of regulatory changes to the business. The day-to-day role will focus… more
- Caterpillar, Inc. (Peoria, IL)
- …competition. Learn more about the Caterpillar Experience. **Job Summary:** As the ** Senior Manager SOS Services** , you will provide strategic leadership to enable ... program, accountable for: + Development and deployment of Caterpillar and Dealer SOS standards, laboratory capabilities and digital capabilities, + Enabling the… more
- Oshkosh Corporation (Sacramento, CA)
- …mission of supporting waste warriors and keeping communities safe and clean.** The Senior Field Service Technician will be responsible for traveling to dealer ... locations, diagnose and repair all issues related to equipment alongside customer and dealer technicians + Assist dealer service technicians with diagnosing and… more
- SMBC (Jersey City, NJ)
- …be responsible for SMBC Nikko Securities America, Inc, a registered broker dealer , which provides intvestment securities and other financial services to corporate ... specialized experience in Financial Services, 2 + years Financial Reporting (broker dealer experience is a strong plus) + Education: BA/BS required, MA/MS/MBA… more
- TD Bank (New York, NY)
- …colleagues dedicated to setting new industry standards. **Job Summary:** The Senior Compliance Business Oversight Analyst provides objective guidance, support and ... professional judgment and discretion in interacting and communicating with staff and senior management of the Bank with respect to significant regulatory compliance… more
- Cargill (Minneapolis, MN)
- …subject to compliance check and approval. **Job Purpose and Impact** The ** Senior Analyst, Governance & Controls - Derivatives & Commodities Compliance (DCC)** will ... and futures trading, and compliance with commodity trading advisor and swap dealer regulations. + Draft and review policies, guidance, and business process… more
- Wells Fargo (New York, NY)
- **About this role:** Wells Fargo is seeking a Senior Lead Compliance Officer to join the CIB Fixed Income Business Aligned Compliance Team. This role within the ... (Corporate Bonds, Loan and Distressed, Credit Derivatives), Rates (Primary Dealer : Treasury, Agency and Repurchase Agreements), Structured Products Group (Structured… more