- MUFG (New York, NY)
- …dealer settlement engine. The role demands deep expertise in trade flows, securities processing, cash management, and settlement across systems such as Broadridge ... vendor integrations, enabling rapid troubleshooting, process improvements, and regulatory compliance without writing code. Strong analytical skills, back office… more
- Securities and Exchange Commission (Washington, DC)
- …is responsible for conducting examinations of entities subject to Regulation Systems Compliance and Integrity (SCI). This program area also administers the SEC's ... at SROs, broker-dealers, or investment advisers, conduct assessments of registrant compliance with applicable statute and regulation, and prepare written reports of… 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
- Charles Schwab (Indianapolis, IN)
- …investigations and filing regulatory reports. All investigations must be conducted in compliance with firm policies and applicable regulations. What You Will Do: The ... interviewing clients and key partners. + Placing disbursement/transaction holds in compliance with applicable regulations and firm policies. + Seeking recovery of… more
- Securities and Exchange Commission (Philadelphia, PA)
- …investment companies, investment advisers and self-regulatory organizations; Assessing the compliance , activities and risks of registered securities firms; ... group that conducts examinations or audits of financial or securities firms; and Providing information and/or assistance to enforcement...within 30 calendar days of the date of alleged non- compliance by contacting the Legal and Policy Office in… more
- Securities and Exchange Commission (Philadelphia, PA)
- …investment companies, investment advisers and self-regulatory organizations; Assessing the compliance , activities and risks of registered securities firms; ... group that conducts examinations or audits of financial or securities firms; and Providing information and/or assistance to enforcement...within 30 calendar days of the date of alleged non- compliance by contacting the Legal and Policy Office in… more
- Capital One (Mclean, VA)
- …are seeking a highly motivated Accounting Manager to support Capital One Securities , a broker dealer registered with the Financial Industry Regulatory Authority ... (FINRA) and the Securities Exchange Commission (SEC). Candidates should be self-starters responsible...etc.) + Perform regulatory net capital computation and ensure compliance with regulatory guidance + Responsible for monthly account… 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
- Wells Fargo (Charlotte, NC)
- …their compliance with Financial Industry Regulatory Authority (FINRA) and Securities and Exchange Commission (SEC) rules and regulations, as well as federal ... the firms' requirements for supervision are in adherence with regulatory, compliance and legal requirements. The Senior Supervisory Control Specialist understands… more
- TD Bank (New York, NY)
- …New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $104,000 - $135,000 USD TD is committed to providing fair ... more specific details for this role. **Job Description:** **Position:** Senior FCRM Compliance Officer **Reports to:** Director, Financial Crime Risk Oversight, TD … more