- Commonwealth of Pennsylvania (PA)
- Non-Depository and Securities Compliance Examiner 1 Print (https://www.governmentjobs.com/careers/pabureau/jobs/newprint/4938640) Apply Non-Depository and ... Securities Compliance Examiner 1 Salary $50,836.00 - $77,321.00...supervisory staff to discuss situations brought to the Compliance Office to determine if a violation of law… more
- Raymond James Financial, Inc. (NY)
- …Abilities** **Advanced knowledge of:** + Concepts, practices, and procedures of the securities industry, broker/dealer compliance and/or branch exams + Rules and ... and skills obtained through experience, specialized training and/or certification in securities industry to conduct onsite* branch examinations of retail brokerage… 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
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