- 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
- Citigroup (Charlotte, NC)
- …Investments (CTI) operates within Corporate Treasury. CTI invests in high quality liquid securities (HQLA) and Non HQLA securities as governed by Asset and ... flows and controls. + Coordination lead for Internal Audits, NTMR Risk Reviews and Compliance . + Provide support with Risk & Controls team to assist CTI maintain 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
- 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
- MyFlorida (Tallahassee, FL)
- …banks, credit unions, trust companies, loan originators, mortgage lenders, securities dealers, investment advisors, consumer collection agencies and money ... matters within the jurisdiction of the OFR or determines compliance with applicable state and federal laws as to...the OFR into alleged violations of the state banking, securities , and finance laws or related statutes and provides… more
- JPMorgan Chase (Evanston, IL)
- …Reviews and Inquires + Support business unit operational procedures and compliance requirements (eg completion of required operational forms and documentation) + ... 2018 you must also have a valid and active Securities Industry Essential (SIE) exam + A valid and...Investment products and services are offered through JP Morgan Securities LLC (JPMS), a registered broker-dealer and investment advisor,… more
- Citigroup (New York, NY)
- … Securities , Asset & Wealth Management) and Corporate Functions ( Compliance , Finance, Risk) preferred + Experience in defining and implementing solutions ... and work under pressure to meet tight deadlines + Deep SME in Securities and Pricing Reference data with experience in supporting the business needs across… 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
- 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
- JPMorgan Chase (Plano, TX)
- …around these activities **Required qualifications, capabilities, and skills** + FINRA Securities Industry Essentials (SIE), Series 7 and 63 (or equivalent) must ... be obtained within 90 days of employment + Strong compliance record in prior position(s) and ability to hold...services or brokerage experience + Valid and active FINRA Securities Industry Essentials (SIE), Series 7, and 63 (or… more