- SMBC (New York, NY)
- …offers a competitive portfolio of benefits to its employees. **Role Description** The Compliance group within SMBC Nikko Securities Inc. serves as a regulatory ... coverage. Reports to a senior member of Private Side Compliance Advisory for SMBC Nikko Securities Inc. **Role Objectives** + Assists in providing regulatory and… more
- OneMain Financial (Irving, TX)
- …for growth and professional development. **Key responsibilities include:** + Assisting our compliance with US Securities and Exchange Commission (SEC) reporting ... and timely filing of required documents. + Ensuring our compliance with Section 404 of the Sarbanes-Oxley Act (SOX...+ CPA or CPA candidate preferred + Experience evaluating compliance with SOX 404 + Advanced knowledge of Microsoft… more
- SMBC (New York, NY)
- …the Regulatory Change Management process. + Provide regulatory advice and oversight of compliance with expertise in US securities , laws and regulations. + ... SMBC Group offers a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has more than 130… more
- Truist (Charlotte, NC)
- …code, test, debug, and document application solutions that support Capital Markets Securities business requirements. You'll ensure compliance with enterprise and ... industry performance and architectural standards while gaining hands-on experience with applications and business domain expertise specific to the Capital Markets technology platform **Essential Duties and Responsibilities:** Following is a summary of the… more
- Southern California Edison (Rosemead, CA)
- …including identifying legal and business risks and recommending solutions. + Securities /Corporate Governance Sr Attorney oversees compliance with federal and ... you'll be primarily responsible for advising internal client organizations regarding compliance with applicable federal, state, and local statutes, regulations and… more
- TD Bank (New York, NY)
- …New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $100,000 - $115,000 USD TD is committed to providing fair ... more specific details for this role. **Job Description:** **Position:** Senior FCRM Compliance Officer **Reports to:** Director, Financial Crime Risk Oversight, TD … 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
- Southern California Edison (Rosemead, CA)
- …including identifying legal and business risks and recommending solutions. + Securities /Corporate Governance Sr Attorney oversees compliance with federal and ... the outcome of important and uncertain legal and factual issues, ensuring legal compliance . + Leads the development and implementation of legal strategies and SCE's… more
- S&P Global (Boulder, CO)
- …AI tools within S&P Global Ratings. They are members of the Risk & Compliance Department, which serves as a critical control function for S&P Global Ratings. This ... research as necessary. + Conducts regular reviews and audits to ensure compliance with established standards. Analytical Platforms + Applies knowledge of Excel or… more
- Berkshire Bank (Boston, MA)
- …Location: Hybrid - Boston, MA - 60 State St Purpose/Objective: The VP, Compliance Officer Asset Management will develop, strengthen, and maintain the compliance ... Management division. This position will provide leadership and strategy for the compliance and risk management of the Wealth Management (Trust department) business… more