- Raymond James Financial, Inc. (St. Petersburg, FL)
- …analyze investment structures, offering terms, trading and operations, along with legal and compliance programs. The Director retains latitude for unreviewed ... audit * Complex investment concepts, practices and procedures used in the securities industry * Financial markets and complex products * Quantitative and qualitative… 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 (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
- Citigroup (Glendale, CA)
- …profitability and compliance with evolving internal policies and external legal and regulatory frameworks. **Responsibilities:** + Responsible for identifying short- ... both a team and individual creative setting + US Only: Securities Industry Exam, S7 & S66; NOTE: Securities Industry Exam (SIE is a prerequisite to the S7)… 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
- Citigroup (Queens, NY)
- …analysis of variances focusing on various products such as loans, securities , deposits and derivatives, incorporating the understanding of regulatory reporting along ... Treasury, Risk, Accounting Policy, Financial Planning and Analysis, Mergers & Acquisitions, Legal , and Investor Relations to maintain a high level of quality and… 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 ... Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets, Inc., SMBC MANUBANK,...the Oracle platform due to rapid growth in SMBC legal entities and ledgers, including the formation of Bank… 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 ... Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets, Inc., SMBC MANUBANK,...of general elements of credit risk as well as legal /compliance related to Bank and Broker Dealers + Excellent… more
- Citigroup (New York, NY)
- …and finance solutions to Corporate clients. + Engage clients in selling derivatives, securities , FX, and commodities. + Drive team strategy across product lines. + ... finance solutions, coordinating with partners. + Collaborate with control functions ( Legal , Compliance, Risk, Audit, Finance) for governance and infrastructure. +… more
- Thrivent Financial (Minneapolis, MN)
- …a thorough understanding of alternative investments, digital assets, and other securities that fall under the complex products umbrella. The Complex Investment ... structured products, real assets, exchange funds and crypto currency securities . + Provides comprehensive sales support to Financial Associates...influence they will have on those roles . + Legal and Compliance to modify TIMI policies as needed… more