- 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
- 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
- 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
- Securities and Exchange Commission (Washington, DC)
- …Law and Legal Review Group provides legal analysis and advice on federal securities laws, administrative procedure, and other applicable laws to the SEC. The Group ... offices on complex legal and policy matters involving the Securities Act of 1933, the Securities Exchange...within 30 calendar days of the date of alleged non- compliance by contacting the Legal and Policy Office in… more
- SMBC (White Plains, 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
- Securities and Exchange Commission (Washington, DC)
- …Division's selective review of offering documents and periodic filings submitted pursuant to the Securities Act of 1933 and the Securities Exchange Act of 1934. ... You would supervise multidisciplinary offices that conduct reviews to ensure compliance with the applicable disclosure and accounting requirements and collaborate… 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
- TD Bank (New York, NY)
- …York, New York, United States of America **Hours:** 40 **Line of Business:** TD Securities **Pay Detail:** $180,000 - $225,000 USD TD is committed to providing fair ... developing and delivering financial strategy, information, and management support within TD Securities (TDS). A key function within the department is the oversight… more
- Citigroup (Getzville, NY)
- …to facilitate the clearance, settlement and investigation of client securities and derivatives transactions. **Responsibilities:** + Resolve complex process problems ... which require an in-depth evaluation of basic securities processing procedures and industry standards + Process various hedge fund tasks, including calculating net… more