- Citigroup (Boca Raton, FL)
- …to clients based on client profiling and suitability assessments + Make securities recommendations and provide investment advice to clients through a select number ... Manage client follow-up and adhere to all Regulatory and Compliance operating procedures + Ensure that KYC/AML and other...goal-oriented team player able to work without direction + Securities Industry Essentials - SIE - Active Series 7,… more
- Iowa Department of Administrative Services (Des Moines, IA)
- …attorneys in protecting consumers by enforcing the unfair trade practices law, the securities law and other laws intended to protect the integrity of the insurance ... Code Chapter 507B, the Insurance Producers Law, Iowa Code Chapter 522B, the Iowa Securities Act, Iowa Code Chapter 502, and other laws under the jurisdiction of the… more
- Citizens (Johnston, RI)
- …+ Additionally, the incumbent is responsible for control testing and monitoring, compliance and regulatory oversight, and documentation and reporting. + Lastly, the ... which includes collaboration with internal stakeholders, including risk management, compliance , and business units to address control related issues. Qualifications,… more
- Citigroup (New York, NY)
- …to clients based on client profiling and suitability assessments + Make securities recommendations and provide investment advice to clients through a select number ... Manage client follow-up and adhere to all Regulatory and Compliance operating procedures + Ensure strict adherence to KYC/AML...goal-oriented team player able to work without direction + Securities Industry Essentials - SIE, Active Series 7, 66… more
- Federal Reserve Bank (Philadelphia, PA)
- …team discussions and contribute to a collaborative work environment. **Participation and Compliance ** Participate in Bank, department, or system projects of high to ... generally prohibit employees, their spouses/domestic partners, and minor children from owning securities , such as stock, of banks or savings associations or their… 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
- KeyBank (Brooklyn, OH)
- …bank account services/activities, as well as maintaining the integrity of associated compliance aspects. May independently work with client contacts to identify and ... bank account services/activities, as well as maintaining the integrity of associated compliance aspects. May independently work with client contacts to identify 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
- 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
- Commerce Bank (St. Louis, MO)
- …for the team attaining financial objectives, effective coaching/leadership of members, and compliance . In addition, the team leader will be charged with the ... establishment of investment objective, asset allocation, selection of specific securities , investment performance reporting, and client service. (Key relationships… more