- CIBC (New York, NY)
- …CIBC, please visit CIBC.com (https://www.cibc.com/en/about-cibc.html) **What You'll Be Doing:** The Capital Markets Compliance Examination Specialist ... is responsible for the execution of the US Compliance Examination Plan established to ensure adherence... compliance . This position primarily supports the US Capital Markets line of business, which includes… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …aligned with RJF Central Compliance . + May support other business units within Capital Markets Compliance . + Provides support and guidance to ... analyze, and resolve complex issues. **Essential Duties and Responsibilities** + Assists the Capital Markets Fixed Income Compliance team with managing their… more
- CIBC (Chicago, IL)
- …To learn more about CIBC, please visit CIBC.com (https://www.cibc.com/en/about-cibc.html) The US Compliance Examination team is a second line assurance function ... in the United States with seamless connectivity to our Capital Markets and Canadian Commercial & Wealth...& Wealth franchises. Reporting to the Head of US Compliance Examination Program, the Compliance … more
- Louisiana Department of State Civil Service (LA)
- …on safety and soundness and compliance with laws and regulations. Examination procedures may include analysis of capital , asset quality, earnings, liquidity, ... of stockholder's equity such as common stock, preferred stock, capital surplus, retained earnings, and subordinated debt to determine...type N/A. 04 Do you have any prior audit, examination , or compliance experience specifically related to… more
- TD Bank (New York, NY)
- …for ADA purposes. **Who We Are** TD Securities offers a wide range of capital markets products and services to corporate, government, and institutional clients ... the impact and advise the business on current and emerging regulatory and compliance issues and industry or market developments to ensure that anticipated… more
- First Horizon Bank (Jonesboro, AR)
- …private banking, consumer, small business, wealth and trust management, retail brokerage, capital markets , fixed income, and mortgage banking services. First ... and overseeing an organization's privacy policies and procedures to ensure compliance with data privacy laws and regulations, by monitoring data collection,… more
- City and County of San Francisco (San Francisco, CA)
- …to facilitate customer access to SFPUC resources. This group supports strategic and capital project planning, leads Power affordability policies and also markets ... position include, but are not limited to the following: + Support Capital Investment Readiness: Convene stakeholders and identify pathways for large-scale capital… more
- Sacramento County (Sacramento, CA)
- …submit proof of requirements may result in disqualification from the examination . Unofficial transcripts are acceptable. For guidelines on submitting acceptable ... the questions should be accurate, thorough, detailed, and complete. FORMULA RATE EXAMINATION (Weighted 100%) All candidates meeting the minimum qualifications by the… more
- City of Tacoma WA (Tacoma, WA)
- …in continuing education and certification classes and training programs. + Ensure compliance with regulations, contracts, and rules such as the Endangered Species ... of Seattle and 31 miles north of the state capital , Olympia. The City of Tacoma is also home...includes major responsibilities and accomplishments related to the position. Examination Process: This is a competitive selection process. The… more
- SMBC (Jersey City, NJ)
- …include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets , Inc., SMBC MANUBANK, JRI America, Inc., SMBC Leasing and ... Mexico, Brazil, Chile, Colombia, and Peru. Backed by the capital strength of SMBC Group and the value of...(especially AML, BSA and OFAC). + Expert-level knowledge of market practices related to compliance operations. +… more