- The Hertz Corporation (Atlanta, GA)
- The Corporate Paralegal for the Global Finance & Governance group in the Legal Department will be responsible for carrying out duties in a corporate legal ... setting under the guidance of attorneys, which includes supporting Securities and Exchange Commission ("SEC") filings and public company compliance, SOX compliance,… more
- Citigroup (Miami, FL)
- …problem resolution + Ensure adherence to all internal policies and compliance to legal and regulatory requirements + Process all client transactions and respond to ... investments/mutual funds subscriptions, redemptions, structured notes, capital markets or securities purchases and sales. + Follow-up on the resolution of… more
- Citigroup (New York, NY)
- …Investments (CTI) operates within Corporate Treasury. CTI invests in high quality liquid securities (HQLA) and Non HQLA securities as governed by the Asset ... of financial products like Guarantees, CDS, SBLCs, CLOs and associated underlying legal documentation + Analyze trade and/or asset data to identify potential hedges… 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 (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
- TD Bank (Burlington, VT)
- …proper account acceptance guidelines + Ensures all client books conform to all legal and regulatory requirements and guidelines associated with FINRA, SEC, and TD ... years financial services experience + Asset allocation and portfolio construction preferred + Securities Licensed: Series 7, 63 + 65 or 66 + Ensures all Continuing… more
- Wells Fargo (Boston, MA)
- …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 (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
- Wellington (Boston, MA)
- …private investment valuation and operations, investment product and fund services, legal & compliance, tax, and information technology to develop and integrate ... real estate debt, and specialty finance + Assist portfolio management and legal teams with deal closing activities and the coordination of transaction activity… more
- TD Bank (Fort Lauderdale, FL)
- …clients of TD Bank, NA encompassing banking, custom credit, asset management, securities , investment advisory and insurance) through multiple legal entities (TD ... who are part of the client-facing Distribution teams are both securities -registered and insurance-licensed. Additionally, the Trust Advisors support both personal… more
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