- Raymond James Financial, Inc. (NY)
- …skills obtained through education, experience, specialized training and/or certification in securities or banking industry compliance to administer and manage an ... for Marketing and Corporate Functions Compliance, including Advertising Supervision, Legal , Human Resources, and Office Services to ensure compliance process… more
- Talen Energy (Houston, TX)
- …Talen is seeking a dynamic **mid-to-senior-level corporate attorney** to join our growing legal team. This is an exciting opportunity for a legal professional ... with 4-7 years of well-rounded corporate and securities law experience to work directly with business leaders...business leaders and stakeholders on a broad array of legal matters. The role offers exposure to day-to-day business… 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
- Zions Bancorporation (Houston, TX)
- …clients with a high level of service. Experience trading taxable fixed income securities required. The Fixed Income PM also develops client and prospective client ... portfolio construction techniques, ability to assess relative value among fixed income securities , understand security sensitivity to interest rates or to change in… more
- Wells Fargo (Charlotte, NC)
- …touchpoints with upstream/horizontal/downstream stakeholders such as front office, legal , client onboarding, reference data, financial crimes, agreement management, ... onboarding, cash payments, customer service, funding or custodial operations, securities settlement services, structure loan operations, reconciliation as well as… 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
- Raymond James Financial, Inc. (NY)
- …vendors. + Conducts complex research and reports findings to Compliance, Legal , Regional Supervision, and Regional Management partners. + Consults with other ... and Abilities** **Advanced Knowledge of:** + Concepts, practices, and procedures of securities industry and/or banking compliance reviews. + Rules and regulations of… more
- State of Montana (Helena, MT)
- …charged with protecting Montanans. As the State Auditor and Commissioner of Securities and Insurance, we are a criminal justice agency protecting Montana's consumers ... ensuring fairness, transparency, and access for two of the state's largest industries- securities and insurance. The agency is committed to consumer education and… more
- The Brattle Group (Washington, DC)
- …and litigation consulting firm. We provide expert analysis and testimony in legal disputes, regulatory proceedings, and business strategy. Our teams apply economic, ... using economic theories, quantitative methods, and data analysis to address legal and business challenges. Consultants work on high-stakes projects, providing expert… more
- US Bank (Minneapolis, MN)
- …excellent advice and guidance to clients and colleagues on a variety of legal matters. They build trusting relationships that allow the business to make ... Law Division is seeking an attorney to join its Legal Regulatory Group (LRG) to provide legal ...on federal and state statutes and regulations, focused on securities laws and the activities of broker-dealers and registered… more