- Toyota (Plano, TX)
- …assist in managing internal and external investment portfolios by executing securities transactions, performing investment manager evaluations, compliance and ... documentation for region activity. Investment and Fundamental Analysis + Execute securities transactions pursuant to TFS and TFSB investment policy, maintain… more
- Marex (New York, NY)
- …visit www.marex.com (http://www.marex.com/) Purpose of Role: Marex is seeking a Senior Compliance Officer - Broker Dealer Advisory who will provide compliance ... regulatory reporting requirements. The position will primarily focus on providing real-time compliance advisory services and serve as the subject matter expert to… more
- Robert Half Finance & Accounting (Emeryville, CA)
- …of our team based in Emeryville, California. The role involves ensuring compliance with the Securities and Exchange Commission regulations, overseeing ... + Manage tie-outs and internal/external document reviews. + Ensure SOX 404 compliance for disclosure accuracy. + Prepare materials for the Audit Committee. Technical… more
- SMBC (New York, NY)
- …the related economics. **Role Objectives** + Provide regulatory advice and oversight of compliance with expertise in US securities , swaps and banking laws and ... 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
- Marex (New York, NY)
- …The Senior Compliance Officer - Fixed Income Advisory will provide compliance advisory services primarily for Fixed Income securities , including corporate ... bonds, municipal bonds, and US Treasuries as well as providing compliance advisory services regarding various other regulatory reporting requirements, including… 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
- 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 (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
- Manulife (Boston, MA)
- …a department that is critical to supporting the oversight of the compliance programs for John Hancock Distributors LLC ("JHD"), John Hancock Investment Management ... wholesale broker dealers that underwrite and distribute several John Hancock securities related products including investment company offerings, 529 College Savings… 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 ... Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets, Inc., SMBC MANUBANK,...is seeking a Vice President to join the Third-Party Compliance (3PC) team and provide compliance oversight… more