- Commonwealth of Pennsylvania (PA)
- …Unit A4 Pay Group ST06 Bureau / Division Code 00057100 Bureau / Division Banking & Securities Compliance Office Worksite Address Market Square Plaza, ... Non-Depository and Securities Compliance Examiner 1 Print (https://www.governmentjobs.com/careers/pabureau/jobs/newprint/4938640) Apply Non-Depository and … more
- State of Montana (Helena, MT)
- … 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 Securities Division , and this position, please continue to read more.... compliance and application review functions for the Securities Division , which include the following: *… more
- TD Bank (New York, NY)
- …through by or through TD Securities (US) via the Markets division **Individual Accountabilities:** The Director Compliance TDS oversees/leads a team(s) of ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $150,000 - $300,000 USD TD is...reports to the US Head of Surveillance for TD Securities (US). Exchange traded products (ETPs) generally includes those… more
- Truist (Atlanta, GA)
- …the following job description:** This position performs assigned duties within Securities Operations unit for the Wealth Management business. This position will ... time. 1. Participate in various processing functions for Wealth accounts, including securities and investment related transactions. 2. Assist in the creation of… more
- First Horizon Bank (Memphis, TN)
- …including carrying out annual subsidiary governance procedures. + Assist with internal compliance programs overseen by the Corporate & Securities team. + ... paralegal to support our Corporate Secretary and Corporate & Securities team in various capacities. The ideal candidate will...essential to ensuring the smooth operation of the Legal Division of our company, and the candidate could expect… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …via webinars, and newsletters. * Conducts complex research and reports findings to Compliance , Legal, Division Supervision, and Division Management partners. ... Skills, and Abilities** **Knowledge of:** * Concepts, practices, and procedures of securities industry compliance reviews. * Rules and regulations of the… more
- State of Georgia (Fulton County, GA)
- …Acts to Division staff members, including but not limited to Compliance Examinations staff, registration analysts, licensure analysts, and Division and ... + Assist designated Division staff with the registrations and compliance inspections of registered entities, including but not limited to charity organizations,… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …and Abilities** **Advanced Knowledge of:** + Concepts, practices, and procedures of securities industry and/or banking compliance reviews. + Rules and ... certification to ensure the tactical and strategic success of the firm's PCG Compliance program. Responsibilities include but are not limited to providing advice and… more
- Raymond James Financial, Inc. (Pittsburgh, PA)
- …skills obtained through education, experience, specialized training, and/or certification in securities industry compliance to design, implement and supervise a ... issues. **Essential Duties and Responsibilities** + Manages department, associates, and division of responsibilities within TriState Capital Bank Compliance … more
- SMBC (Jersey City, NJ)
- …the Compliance Controls Inventory team, which is a part of SMBC's Compliance Department Americas Division ("CPAD"). This role will report to the Director ... a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has...who serves as the Compliance Controls Inventory program lead and will assist in… more
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