- 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
- Truist (Charlotte, NC)
- …**Please review the following job description:** Effectively manage overall operational and compliance risk related to SEC and Climate reporting for Truist. Ensure ... distributed to the Truist Board of Directors and Executive Leadership, Securities and Exchange Commission (SEC) and Federal Deposit Insurance Corporation (FDIC)… more
- Truist (Charlotte, NC)
- …or filed with the Truist Board of Directors and Executive Leadership, Securities and Exchange Commission (SEC), Federal Deposit Insurance Corporation (FDIC) and ... W analysis processes including projects/initiatives with potential Regulation W compliance and reporting impacts. Provide training and guidance to subordinates… more
Locations:
New York,
North Carolina
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