- MUFG (Tampa, FL)
- …is not subject to a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2) or 8a(3) of the Commodity ... Exchange Act, and (b) they do not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA). The major responsibilities listed above are the material job duties of this… more
- Securities and Exchange Commission (Washington, DC)
- …advice concerning a variety of complex legal issues involving the federal securities laws, the Constitution, the Administrative Procedure Act, and the Bankruptcy ... Primary duties include: Directs appellate court litigation involving the securities laws, the Constitution, and other federal statutes and...within 30 calendar days of the date of alleged non- compliance by contacting the Legal and Policy Office in… more
- Citigroup (Tampa, FL)
- …to assist in the clearance, settlement and investigation of client securities and derivatives transactions. **Responsibilities:** + Utilize industry and business ... strategy, redefining existing systems/flows + Identify and support implementation of securities processing improvements + Assist with identifying control gaps and… more
- TD Bank (New York, NY)
- …York, New York, United States of America **Hours:** 40 **Line of Business:** TD Securities **Pay Detail:** $120,000 - $170,000 USD TD is committed to providing fair ... and by performing required system maintenance. In addition, the position will maintain compliance files and verify new clients are set up in the system of… more
- NBC Universal (New York, NY)
- …and other strategic transactions and real estate, as well as assisting with securities and corporate governance matters. You will serve as a key strategic partner ... + Managing and coordinating transaction related issues such as antitrust, securities , tax and accounting, IP, employee benefit plans, employment matters, … more
- Wells Fargo (New York, NY)
- …successful completion and clearing of a background check. Internal transfers are subject to compliance with 17 CFR 240.17f-2 of the Securities Exchange Act of ... **About this role:** Wells Fargo Securities seeks an experienced Supervisory Analyst (SA) to...notes, reports, initiations, decks, models and coverage launches for compliance with FINRA rules and department policies, as well… more
- Commonwealth of Pennsylvania (PA)
- …Permanent Full-Time Job Number CS-2025-33051-08110 Department Department of Banking & Securities Division BG Fscl Spt Srvs Off Opening Date 09/05/2025 Closing ... Group ST06 Bureau / Division Code 00051720 Bureau / Division Banking and Securities Fiscal Support Services Office Worksite Address Market Square Plaza, 17 North 2nd… more
- Wells Fargo (New York, NY)
- …derivatives business of Wells Fargo Bank and its affiliates, including Wells Fargo Securities LLC. **In this role, you will:** + Provide legal advice and counsel ... sales and trading, and market-linked notes business, including sales, trading, credit, compliance , and operations functions + Review and analyze challenges for the… more
- TD Bank (New York, NY)
- …is a first line of defense team responsible for providing risk and compliance advice and oversight to ensure our TDS business partners have adequately considered, ... operations, products and services, and are operating within risk appetite in compliance with regulatory requirements, Bank policies and risk appetite. Members of TDS… 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