- Wells Fargo (New York, NY)
- …underwriting and due diligence on Commercial Real Estate loans for Commercial Mortgage-Backed Securities (CMBS) loans. Learn more about our career areas and lines of ... strong customer relationships balanced with a strong risk mitigating and compliance -driven culture which firmly establishes those disciplines as critical to the… more
- Insight Global (Tampa, FL)
- …registered investment advisor firm local to the Tampa area is looking for 2 Compliance Associates to sit within the securities brokerage and investment advisory ... . Skills and Requirements -3 years of experience within compliance in a financial environment -Series 7 & 24 registrations… more
- MUFG (Tempe, AZ)
- …will provide more details. **Job Summary** **WORK EXPERIENCE:** + Experience in compliance testing, regulatory examination, audit, or risk management. + Exposure to ... regulatory exams or inquiries. + Experience with Core Compliance requirements such as Ethics, Data Privacy, Information Handling, Records & Information Management,… more
- BlackRock (New York, NY)
- …sales experience preferred. BA/BS degree required. NASD series 7, 63 and 65 securities licenses (or 66) strongly preferred. Clean compliance record required with ... cultivate relationships with portfolio managers, sales team, marketing, legal and compliance , RFP team. Synthesize and communicate client insights and market… more
- Wells Fargo (New York, NY)
- …+ Design and maintain frameworks to manage trading risk and ensure compliance with internal and regulatory standards. + Monitor live algorithm behavior, detect ... and monitoring risk based programs to recommend decisions to buy or sell financial securities on an exchange for Securities Algorithmic Trading + Review and… more
- Robert Half Finance & Accounting (Chicago, IL)
- …SEC, FINRA and CME, ensuring the brokerage firm adheres to all securities trading regulations. Primary Responsibilities will include: + Data Collection and Analysis: ... data from internal systems, analyze trading activity to identify potential compliance concerns related to market manipulation, insider trading, best execution, and… more
- SMBC (Charlotte, NC)
- …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 (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
- S&P Global (Boulder, CO)
- …+ Apply comprehensive credit knowledge to analyze complex bond securities , economic indicators, management structures, governance frameworks, and challenging ... innovation and power global markets. S&P Global has a Securities Disclosure and Trading Policy ("the Policy") that seeks...holding and trading. The Policy is designed to promote compliance with global regulations. In some Divisions, pursuant to… more
- AON (Fort Washington, PA)
- …To excel in this role, candidates must possess Life, Accident, and Health licenses. Securities 6 and 63 licenses are preferred, as they enhance the ability to ... navigate complex financial products and compliance requirements. The role involves supporting the Group Variable...Variable Universal Life principal in ensuring adherence to Aon Securities and Prudential standards. Candidates should have 6 to… more