- 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 (Chicago, IL)
- …generally prohibit employees, their spouses/domestic partners, and minor children from owning securities , such as stock, of banks or savings associations or their ... or your spouse/domestic partner or minor child own such securities and would not be willing or able to...equal employment opportunity for employees and job applicants in compliance with applicable law and to an environment where… 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
- JPMorgan Chase (Brooklyn, NY)
- …and instructions, support our internal stakeholders to ensure the Firm's compliance with reporting requirements, establish the framework for and deliver regulatory ... + Banking/capital market product knowledge (loans, deposits, equity investments, debt securities , derivatives, securities financing transactions) required + Vice… more
- Thrivent Financial (Minneapolis, MN)
- …variable lines of authority or ob tained within 90 days . + State securities registered and insurance licensed and appointed in all states that comprise the group ... Once advisors are assigned to this position, this position will require securities registrations, state insurance licenses and appointments in all states where… 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
- Wells Fargo (Charlotte, NC)
- …parties primarily for the purpose of **Financial Crimes, Fair Lending and other Compliance models** . + MRM operates in a fast-paced work environment with ... in writing detailed standard analytical reports to ensure Wells Fargo's compliance with governance policies and regulations. + To communicate with stakeholders,… more
- MUFG (Tempe, AZ)
- …to: 1) OFAC, Japanese Foreign Exchange Law (JMOF), BSA/AML, and various other Compliance related matters as they pertain to the business conducted by the Money ... 4) Management Reporting functions. **Responsibilities:** _Ensure MTD's adherence to MUFG's Compliance Policies_ : + Monitor and process all manual review… more
- Wells Fargo (Charlotte, NC)
- …- convert policies into procedures, processes and controls, working in partnership with compliance , legal, 1st and 2nd line control, COB, and other stakeholders - ... the existing process as needed to ensure constant regulatory compliance and operation efficiency + Coordinate with groups to...subject to comply with 17 CRF 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article… more