- 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 (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
- Wells Fargo (San Francisco, CA)
- …Microsoft Office skills **Job Expectations:** + Registration for FINRA exams including Securities Industry Essentials (SIE), Series 63 and Series 79 must be ... check. Internal transfers are subject to comply with 17 CRF 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states… more
- Charles Schwab (Lone Tree, CO)
- …and leveraging automation tools to improve efficiency, accuracy, reporting, and compliance . The ideal candidate has a strong background in treasury operations ... management, and intraday liquidity management using automation tools. + Ensure compliance with company investment and liquidity policies through automated controls.… more
- Warner Bros. Discovery (Burbank, CA)
- …of matters, including high-stakes commercial disputes, intellectual property, securities , employment, talent relations, and regulatory matters. Reporting to ... WB, including contract, copyright, tort, employment, ADA, patent, antitrust, securities , tax, real estate, consumer products, advertising, corporate, and product… more
- HSBC (New York, NY)
- …Lending, Global Payments Solutions (GPS), Global Trade Solutions (GTS), Markets and Securities Services (MSS) and Investment Banking. CIB Audit team is responsible ... corporate, international middle market, global network banking, etc.) + Markets and Securities Services, focused on traded markets activities covering a wide range… 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
- Huntington National Bank (Charlotte, NC)
- …to the client. + Ensures that all business is suitable for clients and in compliance with all state and federal securities regulations. + Works closely with ... The HFA Region Manager oversees regional sales activities, regulatory compliance , field operational execution and care for HFA clients...+ Bachelor's Degree + 5 or more years of securities industry experience, preferably in a banking environment +… 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 (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