- 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
- Manulife (Boston, MA)
- …accepted) in one PDF file *This position is subject to the Securities and Exchange Commission's Pay-to-Play Rule 206(4)-5 regarding political contributions by ... investment advisers and their covered associates. This position requires compliance with the rules and applicable company policies on political contributions. The… more
- Citigroup (New York, NY)
- …+ Coordinate with Sales, Research, CMand 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 to ensure...and the Plan of Supervision for Global Markets and Securities Services + Adhere to all policies and procedures… more
- Citigroup (Miami, FL)
- …and update product parameters and policies to ensure profitability and compliance with evolving internal policies and external legal and regulatory frameworks. ... and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to...a team and individual creative setting. + US Only: Securities Industry Exam, S7 & S66; NOTE: Securities… more
- Citigroup (Glendale, CA)
- …and update product parameters and policies to ensure profitability and compliance with evolving internal policies and external legal and regulatory frameworks. ... and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to...a team and individual creative setting + US Only: Securities Industry Exam, S7 & S66; NOTE: Securities… 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
- M&T Bank (Wilmington, DE)
- …work closely with business line leaders, technology, operations, risk and compliance teams to deliver modern, client-focused solutions that enhance client ... Own and drive the evolution of bond servicing capabilities such as securities set-up, securities transfer, payment calculation & distribution, corporate actions,… 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