- TD Bank (Portland, ME)
- …who can provide you more specific details for this role. **Line of Business:** Compliance **Job Description:** **Why Work with Us?** At TD Bank US Compliance , ... a mission to build a more resilient and scalable compliance risk management function. As part of our team,...wealth business as a bank subsidiary, a focus on securities investment management and fiduciary activities, state insurance regulatory… more
- MUFG (Irving, TX)
- …of interest. The position shall be responsible to ensure that an effective compliance program is developed and maintained to address compliance with applicable ... key compliance issues and actions are taken to mitigate compliance risk. **Principal functions and responsibilities:** + Develop and maintain relationships with… more
- ManpowerGroup (Milwaukee, WI)
- …* Provide legal counsel on a wide range of corporate matters, including securities law, M&A, commercial contracts, and regulatory compliance . * Draft, review, ... legal professional to serve as Corporate Secretary and Chief Ethics and Compliance Officer for ManpowerGroup. This position is critical to ensure sound corporate… more
- Insight Global (Dallas, TX)
- …Insight Global is seeking to hire an experienced and detail-oriented Deputy Chief Compliance Officer for a global investment firm focused in the fintech space. The ... Deputy CCO is to support the Chief Compliance & Legal Officer in overseeing and managing the...accordance with the rules and regulations of the US Securities and Exchange Commission (SEC) and the Financial Industry… more
- Generac Power Systems (Waukesha, WI)
- …Counsel, and plays an important role in serving as the principal corporate compliance officer for the company and providing legal guidance and support across all ... Counsel assists the General Counsel in managing the legal affairs of the compliance organization, He or she will work directly with senior management and… 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
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …+ Manages the preparation, consolidation and delivery of monthly and quarterly Compliance reports for senior leaders. + Collaborates with cross-functional teams to ... gather, validate and analyze Compliance data to ensure accuracy and completeness. + Develops...Fundamental investment concepts, practices and procedures used in the securities industry. + Principles of banking and finance and… more
- State of Montana (Helena, MT)
- *Why Work with Us?* The Montana State Auditor, Commissioner of Securities and Insurance (CSI), has an exciting opportunity for an Insurance Policy Compliance ... Montanans by regulating two of the state's largest industries, securities and insurance. Our mission is to foster a...a candidate to fill the role of Insurance Policy Compliance Specialist 2 in our Forms Bureau. The successful… 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