- CRC Insurance Services, Inc. (Charlotte, NC)
- …formation and governance, M&A and complex corporate transactions, and ideally securities law. **KEY RESPONSIBILITIES** Following is a summary of the essential ... advice on a wide range of issues, including corporate policies, compliance , intellectual property, labor and employment, and contract negotiation, ensuring that… 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
- Federal Reserve Bank (Philadelphia, PA)
- …generally prohibit employees, their spouses/domestic partners, and minor children from owning securities , such as stock, of banks or savings associations or their ... loan holding companies. If you or your spouse/domestic partner or minor child own such securities and would not be willing or able to divest them if you accepted an… more
- Federal Reserve Bank (Philadelphia, PA)
- …generally prohibit employees, their spouses/domestic partners, and minor children from owning securities , such as stock, of banks or savings associations or their ... loan holding companies. If you or your spouse/domestic partner or minor child own such securities and would not be willing or able to divest them if you accepted an… more
- Hawaiian Electric (Honolulu, HI)
- …related issues affecting the Companies, including: assessment of legal, regulatory compliance and business risk; representation of the Companies before governmental ... liabilities), labor and employment law, environmental regulation, real property, securities , finance, compensation and benefits, legislation and litigation; develop… more
- Raymond James Financial, Inc. (Southfield, MI)
- …and may propose new policies or procedures regarding risk, adhering to compliance and operational risk controls in accordance with company and regulatory standards. ... these OSJ locations. + Monitors and keeps up to date with securities /advisory regulations and applies them accordingly. + Interprets, applies and recommends changes… 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
- TD Bank (Hartford, CT)
- …and follows up on debt margin issues to ensure timely resolution and compliance with regulatory requirements. **Depth & Scope:** + Collaborates with the manager to ... execution or escalating issues as appropriate to ensure risk management and compliance + Provides proactive support to advisors on trading operations, offering… more
- Truist (Atlanta, GA)
- …sound risk management as the first line of defense by ensuring compliance with Bank policies for credit, underwriting, operational, regulatory, tax, legal procedures ... the group's interests through strong coordination with internal clients (banking, compliance , credit risk, audit, enablement) and high-profile external clients. 5.… 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