- Edward Jones (St. Louis, MO)
- …high level of customer service. + Keep the department apprised of any Compliance / Field Service concerns Edward Jones' compensation and benefits package includes ... as set forth in Section 3(a)(39) and 15(b)(4) and Rule 17a-3(a)(12) of the Securities and Exchange Act of 1934, and conducts background reviews consistent with FINRA… 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 ... firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying… more
- Federal Reserve Bank (Cleveland, OH)
- …depository institutions. 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 ... are committed to equal employment opportunity for employees and job applicants in compliance with applicable law and to an environment where employees are valued for… more
- MUFG (Irving, TX)
- …on others' EDD files for moderate to high-risk individuals and entities, to ensure compliance with the Bank Secrecy Act and the USA PATRIOT Act. Assist EDD Manager ... is not subject to a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2) or 8a(3) of the Commodity… more
- Raymond James Financial, Inc. (Memphis, TN)
- …for internal clients by having courteous interactions with them. + Assess compliance with established standards and protocols for routine inquiries. + Support others ... losses. + Fundamental investment concepts, practices and procedures used in the securities industry. **Skills:** + Supports business processes with guidance but not… 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 ... firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying… more
- Federal Reserve Bank (Cleveland, OH)
- …depository institutions. 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 ... are committed to equal employment opportunity for employees and job applicants in compliance with applicable law and to an environment where employees are valued for… more
- HSBC (New York, NY)
- …as giving and social impact utilizing knowledge of tax and investment strategies, securities , insurance, pension plans and real estate. As our Head of Wealth ... (CFA) professional designations preferred + FINRA S7 and S66 licensing preferred. In compliance with applicable laws, HSBC is committed to employing only those who… more
- JPMorgan Chase (Chicago, IL)
- …Commercial & Investment Bank (CIB), a global leader in Global Banking, Markets, Securities Services, and Payments. As a Control Manager, you will play a crucial ... and present materials to senior stakeholders at monthly control forums. + Champion compliance with firm standards and requirements as a senior team member. +… more
- Navy Federal Credit Union (San Diego, CA)
- …offerings. + Develop an internal pipeline for smaller dollar volume accounts in compliance with Navy Federal and NFIS policies and procedures. + Establish, maintain, ... sources. + Execute customer and broker purchase/sales orders of securities for current/new clients. + Identify prospective participation partners/opportunities… more