- Citigroup (New York, NY)
- **Position Overview:** Citi's Global Broker-Dealer Legal Entity Treasury team is seeking a highly qualified AVP candidate to support Broker-Dealer funding, capital ... requirements within the Treasury organization. **Team Description:** The Global Broker-Dealer Legal Entity Treasury team within the Global Treasury organization, is… more
- HSBC (Buffalo, NY)
- …diverse team of global professionals. As our Audit Manager, Regulatory Compliance, Conduct and Legal (RCCL) Audit you will: + Support the US RCCL Audit team in ... to represent US RCCL Audit team on matters related to Regulatory Compliance and Legal risk frameworks, Data Analytics etc + Assist, support, or lead a team of… more
- State of Montana (Helena, MT)
- The Montana State Auditor's Office, Commissioner of Securities and Insurance (CSI) has an exciting opportunity available for a part-time*Compliance Technician*in the ... Securities Division!**To learn more about the Agency, the ...withdrawal, proposal of a heightened supervision plan, referral to Legal Bureau for legal action, or closing… more
- Banco Popular Puerto Rico (San Juan, PR)
- …for Banco Popular de Puerto Rico, Popular Bank, Popular Insurance and Popular Securities . Retrieves documents based on the legal request and complies with ... Description Receive, verify, analyze, process and respond to Subpoenas, Legal Orders and legal requests received from...and respond to Subpoenas, Legal Orders and legal requests received from government agencies (state and federal),… more
- Navy Federal Credit Union (San Diego, CA)
- Overview To provide securities operations processing for Navy Federal Financial Groups' (NFFG) affiliate Navy Federal Investment Services (NFIS) and registered ... new accounts for NFIS and reviews/approves new accounts and trades for securities and insurance business. To administer and maintain the integrated electronic… more
- Mizuho Corporate Bank (New York, NY)
- …of further efficiency / improvement. Qualifications/Skills: + 10+ years banking & securities products experience including KYC, Regulatory, Legal , and Credit ... they are fulfilled per Mizuho's KYC, Regulatory, Credit, and Legal processes in a timely and accurate manner. Major...require most support. + Partner and advise with CSG, Legal , and Credit as they execute their respective processes,… more
- Raymond James Financial, Inc. (Memphis, TN)
- …high level of autonomy, uses advanced knowledge and skills in securities industry regulations obtained through education, experience, specialized training and/or ... that reflect "best practices" and ensures the firm is adhering to all legal and regulatory requirements. + Coaches and mentors associates, identifies training needs… more
- State of Montana (Helena, MT)
- The Montana State Auditor, Commissioner of Securities and Insurance (CSI) is seeking applicants for an *Attorney *in our Legal Bureau. *Why Work with Us?* The ... with protecting all Montanans by regulating two of the state's largest industries- securities and insurance. We strive to foster a thriving Montana industry… more
- Securities and Exchange Commission (Washington, DC)
- … Legal Review Group in the Office of the General Counsel provides legal analysis and advice on federal securities laws, administrative procedure, and other ... laws with particular emphasis on matters involving the Securities Exchange Act of 1934 and providing legal... Securities Exchange Act of 1934 and providing legal advice and analysis of complex issues relating to… more
- NBC Universal (New York, NY)
- …and in-house legal department. + Strong technical expertise in corporate legal matters and related practice areas including securities and disclosure, ... transactions and real estate, as well as assisting with securities and corporate governance matters. You will serve as...You will serve as a key strategic partner providing legal advice and transactional support to our procurement, finance… more