- Zions Bancorporation (Salt Lake City, UT)
- …monitoring, and reporting processes, including outside business activities, personal securities accounts, and political contribution disclosure. + Provide regular ... related field + 8+ experience in financial services regulatory compliance, securities industry, investment management, investment banking, auditing or other directly… more
- Wells Fargo (Cincinnati, OH)
- …acceptance. For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite is required + Obtaining ... check. Internal transfers are subject to comply with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states… more
- Fifth Third Bank, NA (Chicago, IL)
- …market regions of Fifth Third Bank. + Winning new bank and Fifth Third Securities relationships in the middle market. + Enhancing and deepening existing Fifth Third ... or the functional equivalent. + Ability to travel 2-3 weeks per month. + Securities Industry Essentials (SIE), Series 79, 63 licenses required. All the above duties… more
- Robert Half Legal (San Diego, CA)
- …regularly with Compliance and Risk departments to ensure enterprise-wide adherence to securities regulations. TO APPLY, ONLY send resume directly to Vice President ... accredited law school + Extensive knowledge of SEC, FINRA, and state securities regulations + Demonstrated experience handling or responding to FINRA arbitrations or… more
- Charles Schwab (Austin, TX)
- …and Automatic Rollover IRA, as well as oversight and monitoring of Employer Securities . The Specialty Products Manager will serve as a subject matter expert for ... as a backup for Employer Security proxy voting and monitoring of employer securities held Trust Bank accounts + Supporting internal and external audits for CSTB… more
- 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
- TD Bank (New York, NY)
- …can provide you more specific details for this role. **Job Description:** The TD Securities US Compliance team is looking for Vice President to join the Trade ... & duties are considered essential functions for ADA purposes. **Who We Are** TD Securities offers a wide range of capital markets products and services to corporate,… more
- SMBC (Charlotte, NC)
- …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 (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 (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