- State of Connecticut, Department of Administrative Services (Hartford, CT)
- …Banking is the primary state regulator for state-chartered banks and credit unions, securities , and consumer credit. Its mission is to protect users of financial ... entities and individuals adhere to state banking, consumer credit and securities laws. The Department accomplishes this through regular, thorough, and cost-effective… more
- Citigroup (Washington, DC)
- …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
- 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 ... Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets, Inc., SMBC MANUBANK,...CCR function and build a comprehensive CCR framework in compliance with SR 11-10 and BCBS CCR guidelines. The… more
- Citigroup (Houston, TX)
- …is to facilitate the clearance, settlement and investigation of client securities and derivatives transactions. **Responsibilities:** + Serve as a strategic partner ... operations and end results + Assist with overseeing the risk control environment, compliance efforts to follow policies and procedures and keep abreast of Citi's… 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 (Jersey City, NJ)
- …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
- SMBC (Jersey City, NJ)
- …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
- JPMorgan Chase (Tampa, FL)
- …and act as a liaison for issue resolution. Review and resolve compliance surveillance inquiries + Provide principal approval for brokerage trade corrections. Review ... options, margin, QIB) + Perform oversight of incoming correspondence, checks, and securities . Review trends and patterns of escalated email violations. + Provide… 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