• Associate Director, Web Strategy Lead

    S&P Global (New York, NY)
    …not eligible for additional compensation such as an annual incentive bonus or sales commission plan. This role is eligible to receive additional S&P Global benefits. ... global markets. S&P Global has a Securities Disclosure and Trading Policy ("the Policy") that seeks to mitigate conflicts...status, or any other status protected by law. Only electronic job submissions will be considered for employment. If… more
    S&P Global (06/30/25)
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  • Sr Legal Counsel, Sustainable 1 and Environmental…

    S&P Global (New York, NY)
    …not eligible for additional compensation such as an annual incentive bonus or sales commission plan. This role is eligible to receive additional S&P Global benefits. ... global markets. S&P Global has a Securities Disclosure and Trading Policy ("the Policy") that seeks to mitigate conflicts...status, or any other status protected by law. Only electronic job submissions will be considered for employment. If… more
    S&P Global (06/24/25)
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  • Branch Manager

    Raymond James Financial, Inc. (St. Louis, MO)
    …adherence to firm and regulatory policies and procedures. + Supervises daily trading and other office activities. + Documents and resolves client complaints. + ... Performs reviews of client accounts. + Develops and implements plans to meet office sales goals. + Facilitates sales promotion activities such as seminars and… more
    Raymond James Financial, Inc. (07/01/25)
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  • Complex Manager

    Raymond James Financial, Inc. (St. Louis, MO)
    …and retains Financial Advisors (FAs) and support staff. + Supervises daily trading and other office activities. + Resolves client complaints. + Performs reviews ... of client accounts. + Develops and implements plans to meet office sales goals. + Facilitates sales promotion activities such as seminars and luncheons/dinners.… more
    Raymond James Financial, Inc. (07/01/25)
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  • Senior Advisor, Conflicts of Interest Supervision

    Raymond James Financial, Inc. (St. Petersburg, FL)
    …to administer and analyze complex suitability reviews to detect trends, trading patterns and possible rules violations to ensure adherence to securities ... to administer and analyze complex suitability reviews to detect trends, trading patterns and possible rules violations to ensure adherence to securities… more
    Raymond James Financial, Inc. (06/04/25)
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  • Retirement Savings Plan Analyst - NWPS

    Raymond James Financial, Inc. (Seattle, WA)
    …RJA's_ _services include private clients, institutional equity and fixed-income institutional sales , investment banking, trading activities, and operations and ... requests with accuracy + Review and execute trades as part of a nightly trading team, working non-standard hours one to three nights a week. + Respond accurately… more
    Raymond James Financial, Inc. (07/15/25)
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  • IT Business Analyst - Compliance Systems

    Mizuho Corporate Bank (New York, NY)
    …In-depth understanding of AML, sanctions screening, restricted data, employee trading monitoring, electronic communication surveillance, and regulatory reporting ... span corporate and investment banking, capital markets, equity and fixed income sales & trading , derivatives, FX, custody and research. Visit… more
    Mizuho Corporate Bank (06/25/25)
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  • Central Supervision Principal

    KeyBank (Brooklyn, OH)
    …the principal supervision and surveillance of all bank brokerage, advisory and insurance sales activities. This includes, but is not limited to, new account opening, ... customer complaint research and resolution, periodic reporting, audit responses, sales trend identification, reporting and oversight. Through collaboration with the… more
    KeyBank (06/20/25)
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  • New Business Consultant - Roseville or

    Principal Financial Group (Modesto, CA)
    …**New Business Consultant** is instrumental to the success of regional sales offices by building partnerships with our financial professionals, accurately onboarding ... and manage systems to track multiple time sensitive deadlines and maintain electronic client files. + Communicate new account statuses, resolve client service… more
    Principal Financial Group (07/23/25)
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  • Governance & Controls - Risk Advisor I - Finra

    Truist (Richmond, VA)
    …transaction and escalate complex matters to Team Lead, manager and/or Regional Sales Management. Review of Electronic Correspondence/Social Media Review to ... supervisory reviews that are performed. + Supervisory responsibility for Broker Dealer trading activity. + Provide oversight and support for open risk, audit, and… more
    Truist (06/03/25)
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