- Truist (Charlotte, NC)
- …or filed with the Truist Board of Directors and Executive Leadership, Securities and Exchange Commission (SEC), Federal Deposit Insurance Corporation (FDIC) and ... W analysis processes including projects/initiatives with potential Regulation W compliance and reporting impacts. Provide training and guidance to subordinates… more
- Raymond James Financial, Inc. (Hackensack, NJ)
- …and occasional personal visits. * Educates client on the functions of various securities markets and the principal factors that affect them. * Provides guidance on ... transactions. * Ensures practice and regulatory policies are followed within compliance standards * Perform other duties and responsibilities as assigned.… more
- Lincoln Financial (Trenton, NJ)
- …sales and distribution to new and existing clients - the legal and compliance aspects of designing and administering life insurance and annuity products + Identify ... and a Member of the Bar in good standing is required Experience + Experience with Securities Act of 1933 and Investment Company Act of 1940 + Minimum of 10+ years'… more
- JPMorgan Chase (Jersey City, NJ)
- …clients and partners across LOBs: sales/service, implementation, tech & ops, risk, compliance , legal and other groups to ensure proper due diligence and review ... 20022 + Experience with Clearinghouse Settlement & CLS + Knowledge of securities services including custody, transfer agency and other funds services Preferred… more
- Bank of America (Jacksonville, FL)
- …Description:** This job is responsible for providing operational support for securities , loans, exchange traded derivatives and over the counter derivatives across ... a high degree of accuracy with customers and data to ensure compliance with regulations and policies. **LOB Description:** Corporate Actions Control Team performs… more
- Federal Reserve Bank (Cleveland, OH)
- …depository institutions. If you or your spouse/domestic partner or minor child own such securities and would not be willing or able to divest them if you accepted ... are committed to equal employment opportunity for employees and job applicants in compliance with applicable law and to an environment where employees are valued for… more
- Raymond James Financial, Inc. (New York, NY)
- …Trading Systems, Smart Order Routers, and CSA management. + Regulations and Compliance . + TCA and Data Analytics, network concepts, topologies, and technologies. + ... Principles of banking and finance and securities industry operations. **Skill in:** + Using technical/professional knowledge and interpersonal skills to obtain… more
- New York State Civil Service (Albany, NY)
- …of the financial services industry, including risk management and compliance requirements.The Department of Financial Services is seeking candidates for ... development. * Reviewing traded products, related derivative and cash securities pricing techniques, Value-at-Risk, and/or counterparty credit risk modeling… more
- Commerce Bank (Kansas City, MO)
- …establishment of investment objective, asset allocation, selection of specific securities , investment performance reporting, and client service. Essential Functions ... to ensure investment objectives are being met, portfolios are in compliance with investment objectives and Commerce security-specific recommendations + Provide… more
- Zions Bancorporation (Las Vegas, NV)
- …decisions and strategies. + Conduct account reviews and maintains fiduciary and compliance training and education. + Experienced in mutual funds, ETFs, separately ... completing investment projects as assigned, evaluating market trends, and analyzing securities . + Works closely with client relationship managers and other wealth… more