- 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
- Citigroup (Irving, TX)
- …services, including consumer banking and credit, corporate and investment banking, securities brokerage, transaction services, and wealth management. As a bank with ... services, including consumer banking and credit, corporate and investment banking, securities brokerage, transaction services, and wealth management. As a bank with… more
- Citigroup (New York, NY)
- …business + Coordinate with Sales, Research, and other organizations across Markets and Securities Services and the broader business + Trade a book and deliver on ... in close partnership with control functions such as Legal, Compliance , Market and Credit Risk, Audit, Finance in order...and the Plan of Supervision for Global Markets and Securities Services + Adhere to all policies and procedures… more
- Citigroup (Jacksonville, FL)
- …services, including consumer banking and credit, corporate and investment banking, securities brokerage, transaction services, and wealth management. As a bank with ... services, including consumer banking and credit, corporate and investment banking, securities brokerage, transaction services, and wealth management. As a bank with… more
- Securities and Exchange Commission (Washington, DC)
- …collaboration and advising on legal and policy issues related to compliance deficiencies and regulatory violations. Carrying out supervisory duties, such as ... the provisions and providing sound advice regarding the federal securities laws (for example, the Investment Company Act, the...within 30 calendar days of the date of alleged non- compliance by contacting the Legal and Policy Office in… 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 (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
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …*Propose audit objectives, scope, procedures and internal control reviews to ensure compliance with policies and regulations. * Lead multiple audit engagements from ... and constructive feedback. Perform testing of internal controls to ensure compliance with policies and regulations. * Produce quality deliverables in accordance… more
- MUFG (Houston, TX)
- …portfolio utilizing internal and external sources + Oversight of covenants compliance database and facility closing due diligence, including documentation + Attend ... deal team environment (with Global Relationship Management, Syndications & MUFG Securities ) supporting Senior Portfolio Managers (PMs) in the development and… 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