- Charles Schwab (Austin, TX)
- …and Automatic Rollover IRA, as well as oversight and monitoring of Employer Securities . The Specialty Products Manager will serve as a subject matter expert for ... to DOL or PGBC of potential abandoned plans + Legal and Regulatory inquiries for Trust Bank accounts related...for Employer Security proxy voting and monitoring of employer securities held Trust Bank accounts + Supporting internal and… more
- TD Bank (New York, NY)
- …York, New York, United States of America **Hours:** 40 **Line of Business:** TD Securities **Pay Detail:** $140,000 - $180,000 USD TD is committed to providing fair ... processes, policies, programs and advice + Maintains awareness of changing legal /regulatory requirements and practices within the industry and consults with… more
- State of Montana (Helena, MT)
- *Why Work with Us?* The Montana State Auditor, Commissioner of Securities and Insurance (CSI), has an exciting opportunity for a full-time, temporary Human Resources ... protect all Montanans by regulating two of the state's largest industries - securities and insurance. Our mission is to foster a thriving marketplace through… 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
- 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
- Edward Jones (Belmont, CA)
- …Advisor?** + Build meaningful relationships with clients with an understanding of legal and regulatory requirements related to selling financial solutions + Critical ... 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...+ At least 3-5 years of relevant experience in securities industry preferred + FINRA licenses required within three… more
- PCL Construction (Irvine, CA)
- …* Oversees the preparation of insurance, subcontract default insurance, and/or legal claims. * Leads the interpretation, negotiation, and approval of deviations ... * Evaluate and ensure insurance, bonding, and other performance securities are being met to satisfy contract and corporate...and reporting * Advanced knowledge of bid and contract securities and insurance and they relate to risk management,… more
- Citigroup (New York, NY)
- …+ Coordinate with Sales, Research, CMand and other organizations across Markets and Securities Services and the broader business + Trade a book and deliver on ... Work in close partnership with control functions such as Legal , Compliance, Market and Credit Risk, Audit, Finance in...and the Plan of Supervision for Global Markets and Securities Services + Adhere to all policies and procedures… more
- Truist (Charlotte, NC)
- …This role is responsible for processing transactions that supports Derivative Trading, Securities Trading, Loan Trading or Agency Services Lines of Business within ... on core operational tasks including Client On-Boarding, Trade Capture, Securities Settlement and Clearance, Confirmations, Client Support or Margin/Collateral… more
- AIG (Parsippany, NJ)
- …Assets of over $95 billion a comprised primarily of fixed maturity securities and includes private equity, hedge funds, commercial/residential loans and equity ... securities . In addition, AIG's derivative portfolio consists primarily of...reporting and various government regulatory reports). AIG has multiple legal entities around the globe. The team is also… more