- 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,...SMBC Group is seeking an Associate to join the Compliance Controls Inventory team, which is a part of… more
- TD Bank (New York, NY)
- …New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $225,000 - $250,000 USD TD is committed to providing fair ... more specific details for this role. **Job Description:** TD Securities is seeking a highly experienced and strategic Senior...experienced and strategic Senior Conflict Manager to join our Compliance Control Room. This role is critical in managing… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …Experience Requirements:** + Bachelor's degree (BA) in a related discipline in retail securities sales, sales management, operations, or compliance . ~or~ + Any ... thinking and decision-making, involving the interpretation of regulatory rules and compliance policies. + Detail orientation to ensure the regulatory liability is… more
- Robert Half Finance & Accounting (Southfield, MI)
- …to join our team located in SOUTHFIELD, Michigan. The role involves ensuring compliance with US Securities and Exchange Commission (SEC) reporting rules, ... annual SOC 1 reviews for vendors impacting financial reporting. * Ensuring compliance with written policies and procedures. * Coordinating various layers of review… more
- Resideo (Charlotte, NC)
- …contribute to the monthly close and external reporting processes, assist in ensuring compliance with SEC ( Securities and Exchange Commission) regulations and US ... as part of the monthly, quarterly and year-end close + Assist with ensuring compliance with SEC, US GAAP and Sarbanes Oxley regulations + Actively participates in… more
- Capital One (Mclean, VA)
- Compliance Advisor Manager Corporate Compliance is seeking a Compliance Advisor Manager to perform a key risk management role in the second line of defense ... in addition to agency lending from Fannie Mae, Freddie Mac, and FHA. The Compliance Advisor Manager will support the businesses' compliance with applicable laws… more
- Scotiabank (Houston, TX)
- Senior Manager, CIB & Research Compliance Officer **Requisition ID:** 218082 **Salary Range:** 99,790.00 - 190,995.00 _Please note that the Salary Range shown is a ... together to drive ambition for every future! **Purpose** The Compliance Officer will operate as a member of the...Internal Controls experience. + Strong understanding of applicable US securities regulations eg SEC 10b-5, securities offering… more
- TD Bank (New York, NY)
- …New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $115,000 - $185,000 USD TD is committed to providing fair ... We are looking for a Vice President, US Markets Compliance Advisory to join our team in NYC. The...(i) public and private offerings of equity and debt securities . + Assist in the development and build out… more
- MUFG (Irving, TX)
- …in banking compliance experience. + Extensive knowledge of banking and securities regulations and environments. + Bachelor's degree is preferred, MBA or relevant ... graduate degree a plus. + Compliance certifications (eg, ACAMS, CRMC) or securities certifications (ie, Series 79 and 24) a plus. + Excellent interpersonal,… more
- Raymond James Financial, Inc. (Troy, MI)
- …in data analytics, visualization, and reporting frameworks. + Data governance, compliance , and relevant securities and insurance industry regulations. **Skill ... in:** + Advanced SQL query writing and analysis across relational databases and cloud platforms. + Using CRM SaaS solutions (MS 365 Dynamics, etc.) to support BI initiatives. + Leveraging BI/reporting platforms such as Qlik Sense, with a readiness to obtain… more