- SMBC (New York, NY)
- …in Japan. SMFG's shares trade on the Tokyo, Nagoya, and New York (NYSE: SMFG) stock exchanges. In the Americas, SMBC Group has a presence in the US, Canada, Mexico, ... as business is conducted and transactions are executed. **Role Objectives** The Broker Dealer Regulatory Governance Advisory Team within the CPAD Advisory Function… more
- SMBC (Jersey City, NJ)
- …in Japan. SMFG's shares trade on the Tokyo, Nagoya, and New York (NYSE: SMFG) stock exchanges. In the Americas, SMBC Group has a presence in the US, Canada, Mexico, ... Description** Sumitomo Mitsui Banking Corporation (SMBC) is seeking a dynamic Compliance Training Associate to join our Compliance Department Training Team. In… more
- Kerry (New York, NY)
- …Chain Manager). + Lead execution of initiatives and trainings with sales broker (CORE) by leveraging strategic relationships with Market Directors, managing critical ... as a comprehensive benefits package, incentive and recognition programs, equity stock purchase and retirement contribution (all benefits and incentives are subject… more
- Charles Schwab (Westlake, TX)
- …efficiency of governance processes, risk management, and internal controls. The Broker -Dealer/Asset Management enterprise team is seeking an Internal Audit Manager. ... The Broker -Dealer/Asset Management team provides internal audit coverage of the...(iv) asset management functions; (v) corporate client services, including stock plan services, retirement plan services, and compliance and… more
- ADM (Chicago, IL)
- **99777BR** **Job Title:** Senior Broker - Chicago, IL **Department/Function:** Investor Relations **Job Description:** **Senior Broker - Chicago, IL** Archer ... Financial Services (AFS) is a wholly owned subsidiary and Guaranteed Introducing Broker of ADM Investor Services. AFS provides customers with superior service in… more
- SMBC (New York, NY)
- …in Japan. SMFG's shares trade on the Tokyo, Nagoya, and New York (NYSE: SMFG) stock exchanges. In the Americas, SMBC Group has a presence in the US, Canada, Mexico, ... to the President and is responsible for overseeing the management of the broker dealer's compliance risk and is represented by the Chief Compliance Officer as… more
- AON (Chicago, IL)
- Aon Is Looking for an Associate Broker to join our team! Considering a job change? Take a look at Aon! This is a hybrid-based role located in our Chicago, IL office. ... accurately record the activities and communications of the team. + Attend training sessions, presentations, and meetings that will assist with present and… more
- Charles Schwab (Westlake, TX)
- …improve the efficiency of governance processes, risk management, and internal controls. The Broker Dealer Asset Management (BDAM) Audit Team is seeking a Senior IT ... with onboarding and ongoing support to new team members. + **Administration/ Training :** Completion of firm-wide and departmental administration and training … more
- PennyMac (Plano, TX)
- …and escalate to department leadership as necessary + Oversee onboarding and training for all assigned regions and accounts + Manage individual SLAs and ... role Some roles may be eligible for performance-based compensation and/or stock -based incentives awarded to employees based on company and individual performance.… more
- AON (Chicago, IL)
- …Units: + Identify and measure Clients' exposures to loss. + Work with the broker to assess the existing risk management program to effectively respond to these ... unit managers and personnel, as appropriate. + Work with Client's global broker to prepare insurance applications and underwriting submissions. + Negotiate insurance… more
