• Compliance Officer - Wealth Management and Trust…

    KeyBank (Brooklyn, OH)
    …and risk programs to ensure consistency with current applicable banking and securities rules, regulations, and laws. + Develop and maintain strong, collaborative ... wealth management related (eg - trust/fiduciary, asset management, private banking, securities , etc.) compliance, risk management, and/or internal or external audit… more
    KeyBank (01/14/26)
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  • Summer Internship: Law & Leadership Program (Law…

    Bristol Myers Squibb (Princeton, NJ)
    …colleagues from around the world. **Corporate Affairs/Corporate Strategy (Corporate Governance/ Securities )** + Develop an understanding of US Securities ... and general corporate governance principles. + Review and update public securities disclosures, including proxy statement for annual shareholder meeting. + Research… more
    Bristol Myers Squibb (01/13/26)
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  • Sr. Accountant

    Robert Half Finance & Accounting (Chicago, IL)
    …SEC, FINRA and CME, ensuring the brokerage firm adheres to all securities trading regulations. Primary Responsibilities will include: + Data Collection and Analysis: ... when necessary. + Regulatory Updates: Stay informed about changes in securities regulations and industry best practices, updating reporting procedures accordingly. +… more
    Robert Half Finance & Accounting (01/13/26)
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  • JP Morgan Wealth Management - Vice President…

    JPMorgan Chase (Boston, MA)
    …prior to activity and maintain a log of the activity. Approve personal securities transactions for regional employees as required by firm policy and review and ... and skills** + 7+ years of experience in the securities / investment industry + Licenses required to perform...+ Possess a competent level of knowledge of relevant securities rules, regulations, guidelines, securities products and… more
    JPMorgan Chase (01/13/26)
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  • Sr Compliance Manager - Compliance Testing…

    KeyBank (Brooklyn, OH)
    …with all regulatory requirements set forth by SEC, FINRA and state securities and insurance divisions.** **Develop and manage routine and annual KIS compliance ... annual FINRA 3120/3130 and SEC 206(4)-7 reporting to management.** **Manage securities and insurance examinations with external regulatory bodies (eg, SEC, FINRA,… more
    KeyBank (01/10/26)
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  • General Counsel

    Robert Half Legal (Denver, CO)
    …internal control environment. + Ensure compliance with applicable federal securities and investment regulations, including oversight of regulatory examinations. + ... to practice law in at least on US jurisdiction. Certified Securities Compliance Professional (CSC) and Certified Investment Company Compliance Professional (CICCP)… more
    Robert Half Legal (01/09/26)
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  • Financial Services Compliance Leader

    GE Vernova (Stamford, CT)
    …Compliance: Coordinate and execute compliance obligations for regulated securities transactions arranged through a registered Broker-Dealer and Financial ... + Experience with asset management, fund management, brokerage activities for securities transactions and/or capital raising. **Desired Characteristics** + Holds US … more
    GE Vernova (01/08/26)
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  • Broker Dealer Regulatory Governance Advisory…

    SMBC (New York, NY)
    …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
    SMBC (01/07/26)
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  • VP, Compliance Equity Capital Markets

    Raymond James Financial, Inc. (St. Petersburg, FL)
    …and Abilities** **Advanced Knowledge of:** + Concepts, practices and procedures of securities industry compliance. + Rules and regulations of the Securities ... Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and state securities regulatory agencies, specifically FINRA 2241 and SEA - Section 5,… more
    Raymond James Financial, Inc. (01/07/26)
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  • Summer Analyst Program - Global Markets, Sales…

    TD Bank (New York, NY)
    …Sales & Trading (New York)** As a leading corporate and investment bank, TD Securities offers a wide range of integrated capital markets products and services. Our ... needs today and prepare for tomorrow. **JOB OVERVIEW** TD Securities is looking for candidates with varying backgrounds and...a career guide for navigating your experience at TD Securities and beyond. Summer Analysts will have the opportunity… more
    TD Bank (01/06/26)
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