- Raymond James Financial, Inc. (St. Petersburg, FL)
- …in the securities industry. + Principles of banking and finance and securities industry operations . + Financial markets and products. **Advanced skill in:** ... of compliance systems and processes. + Ensures effective coordination within assigned work group and with other work groups. + Serves as a compliance liaison on… more
- Raymond James Financial, Inc. (Denver, CO)
- …in the securities industry. + Principles of banking and finance and securities industry operations . + Financial markets and products. **Advanced skill in:** ... changes to Senior Management. + Ensures effective coordination occurs within assigned work group and with other work groups. + Identifies, recommends, and works with… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …in the securities industry. * Principles of banking and finance and securities industry operations . * Financial markets and products. **Advanced Skill in:** ... skills obtained through education, experience, specialized training and/or certification in securities or banking industry compliance to administer and manage an… more
- SMBC (New York, NY)
- … Group offers a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has more than 130 ... SMBC Group is a top-tier global financial group...Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets, Inc., SMBC MANUBANK,… more
- SMBC (Charlotte, NC)
- … 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,...according to KPI metrics. + Work closely with Portfolio Manager , PMO, Budget and planning group to… more
- SMBC (New York, NY)
- … Group offers a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has more than 130 ... SMBC Group is a top-tier global financial group...Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets, Inc., SMBC MANUBANK,… more
- SMBC (Charlotte, NC)
- … Group offers a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has more than 130 ... SMBC Group is a top-tier global financial group...Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets, Inc., SMBC MANUBANK,… more
- Atria Wealth Solutions (Dublin, CA)
- …with CUSO Financial Services, L. P. (CFS) Patelco Credit Union is seeking a Manager , Investment Services Program in the Dublin, CA areas. About Patelco Credit Union ... and regulatory requirements. + Ensure that the goals and operations of the Patelco Financial Solutions aligns with the...implementing, and evaluating a business plan for the Investment Group . + Plan, implement and evaluate short and long-term… more
- USAA (Tampa, FL)
- …special and impactful. **The Opportunity** **USAA is seeking a talented** ** Manager , Life/Health/Retirement Income to join the Life Company Health Solutions Team.** ... As a Manager , Life/Health/Retirement Income, you will manage a team of...resources needed. + May fulfill the responsibilities of a securities principal: In conjunction and coordination with Securities… more
- S&P Global (Chicago, IL)
- …culture, where innovation and inclusivity are at the forefront of our operations . Our team values integrity, transparency, and a proactive risk & control ... with Analytic teams, Compliance (2nd Line), Internal Audit (3rd Line), Rating Operations , Editorial and other IBC colleagues to implement an effective 1st Line… more