- 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
- US Bank (Chicago, IL)
- …and ongoing recruiting and hiring of Financial Advisors to reach market objectives. Ensures compliance with state and federal securities laws as well as US ... within Investment Sales. Directs assigned market's sales efforts and the compliance /administrative duties regarding the sale of investment services through US… more
- Citigroup (Jersey City, NJ)
- …and payment facilitation of voluntary corporate action events, ensuring compliance with regulatory requirements and internal controls. + Maintain high-quality ... members to develop and implement effective solutions. + Promote a culture of compliance by ensuring team adherence to established procedures and controls and by… more
- Aston Carter (Virginia Beach, VA)
- …You will be responsible for supporting various legal functions, ensuring compliance with corporate governance requirements, and maintaining organized records for ... 10-Q, and 8-K. + Maintain corporate records and ensure compliance with corporate governance requirements. + Support in the...legal research and provide support on various corporate and securities law matters. + Liaise with external counsel and… more
- Raymond James Financial, Inc. (Denver, CO)
- …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
- Raymond James Financial, Inc. (Savannah, GA)
- …of the branch office. Directs day to day operational functions, ensuring compliance with firm and regulatory policies and procedures. Uses extensive knowledge and ... of branch procedures. + Assists Branch Manager with confidential matters and compliance visits and replies. + Assists Branch Manager with controlling expenses and… 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
- Comerica (Costa Mesa, CA)
- Job Description Registered Client Service AssociateThe Securities Senior Sales Assistant (SSA) role is a position providing operational and sales support to multiple ... This position holds responsibilities in 4 primary categories: Sales Support, Compliance , Customer Service, and Teamwork. Some of the primary responsibilities are… 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 (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