- 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
- Hawaiian Electric (Honolulu, HI)
- …open until filled. Early applications are encouraged. BRIEF POSTING DESCRIPTION: The P NC LEGAL Department of the P LEGAL Division at Hawaiian Electric Company ... ASSOCIATE GENERAL COUNSEL (LITIGATION & REGULATORY) JOB FUNCTION: Provide in-house legal services, with an emphasis on public utility regulatory matters and… more
- PNC (Baltimore, MD)
- …support investment advisory subsidiaries of PNC that are registered with the US Securities and Exchange Commission (SEC). Your primary role will be to support and ... strong understanding of compliance frameworks and the ability to navigate complex legal and financial requirements. Ideal candidates bring some experience in … more
- S&P Global (Englewood, CO)
- …document analysis of CLO transactions as follows: + Conduct detailed reviews of legal and operating documents to ensure compliance with criteria and identify issues ... of relevant work experience. A JD and or prior legal document review experience is a decisive asset. +...innovation and power global markets. S&P Global has a Securities Disclosure and Trading Policy ("the Policy") that seeks… more
- Thrivent Financial (Minneapolis, MN)
- …and sale of privately placed investment grade corporate bonds and related securities . While some industry expertise may be developed, the position is generalist ... function is responsible for conducting research analyses on specific organizations, securities , financial products, and the overall economic environment. **We have… more
- TD Bank (New York, NY)
- …Specialist, Global Markets **Reports to:** Director, Financial Crime Risk Oversight, TD Securities , US **Position Summary** The US FCRM TDS Business Oversight team ... supports TD Securities in developing, implementing, and maintaining a robust financial...guidance on regulatory compliance, close partnership with business and legal , and operationalizing requirements and regulations for the Wholesale… more
- Edward Jones (St. Louis, MO)
- …and vendor tools. + Establish relationships and share information with Legal , Compliance, and other internal departments, governmental agencies and law enforcement ... watchlists in order to detect and report suspicious customers, transactions or securities . Candidates that live within a commutable distance from our Tempe, AZ… more
- Wells Fargo (Charlotte, NC)
- …for supervision are in adherence with regulatory, compliance and legal requirements. The Senior Supervisory Control Specialist understands the complexity, ... organization and Independent Offices. Additionally, you will partner with areas of Compliance, Legal and the Line of Business, as needed, in addressing concerns and… 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
- S&P Global (New York, NY)
- …output and reconcile with cash flow results from internal models. + Review legal and operating documents to ensure consistency with criteria and identify issues with ... with Esoteric ABS or novel assets classes and prior legal ratings experience is a plus. + Strong proficiency...innovation and power global markets. S&P Global has a Securities Disclosure and Trading Policy ("the Policy") that seeks… more