- 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
- Wells Fargo (St. Louis, MO)
- **About this role:** Wells Fargo is seeking a Securities Operations Associate in Business Operations as part of Investment Operations division . Learn more about ... support tasks and help identify opportunities for process improvements within Securities Operations + Review basic or tactical issues, policies or procedures… more
- Packing Corp of America (Lake Forest, IL)
- …management and administration of the Legal department. Principle Accountabilities: + The Securities lawyer ensures compliance with the Securities Exchange ... entire corporation. + Provides legal services to an operating division or staff group or within a specialized area...securities law, focusing on public company reporting and compliance + Strong verbal and written communications with the… 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
- Wells Fargo (Charlotte, NC)
- …Risk, Compliance , etc.) **Required Qualifications:** + 2+ years of Securities Trading experience, or equivalent demonstrated through one or a combination of ... **About this role:** Wells Fargo is seeking a Trading Securities Associate to join their Global Secured Trading (GST) team. This role will be responsible for… more
- Citizens (New York, NY)
- …includes conducting risk assessments to identify potential operational, regulatory, and compliance risks within the wealth management division . + Responsible ... work independently and receive minimal guidance while maintaining client service and compliance standards as new wealth teams are transitioned to the firm. Primary… more
- Library of Congress (Washington, DC)
- …as Deputy Assistant Director and Specialist in the Government and Finance Division . The Deputy Assistant Director supports the Assistant Director in managing the ... division , which provides expert research to meet congressional policy...fiscal and monetary policy, banking, financial regulation, insurance and securities , fintech, the macroeconomy, taxation, public finance, federal debt… more
- Raymond James Financial, Inc. (NY)
- …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
- SMBC (Jersey City, NJ)
- …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
- 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
- SMBC (Jersey City, NJ)
- …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
- Navy Federal Credit Union (San Diego, CA)
- …business. To administer and maintain the integrated electronic document repository of member securities records and ensure compliance with Securities and ... Overview To provide securities operations processing for Navy Federal Financial Groups'...explanations of subsidiary reports * Compile statistical/historical data for group/ division reports, audits and projects, distributes to management or… more
- SMBC (Jersey City, NJ)
- … Compliance functions. This is a junior to mid-level role in the Compliance Department Americas Division (CPAD) Data Governance team. This individual is ... SMBC Group offers a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has more than 130… more
- SMBC (Jersey City, NJ)
- …drives Compliance processing. This is a mid-level role in the Compliance Department Americas Division (CPAD) Data Governance team. This individual ... a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has...is a critical asset. As a data champion, the Compliance Data Governance Operations VP, is focused on measuring… more
- SMBC (Jersey City, NJ)
- …to its employees. **Role Description** SMBC is seeking an Associate to join the Compliance Governance team of SMBC Americas Division . This role contributes to ... a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has...the overall success of the Compliance Department by assisting with key processes to support… more
- SMBC (Jersey City, NJ)
- …Program Manager will join the Compliance Administrative Office supporting the Chief Compliance Officer (CCO) for the Americas Division , playing a key role in ... a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has...driving strategic priorities across the Compliance Department. This role offers significant exposure to senior… more
- Commerce Bank (Kansas City, MO)
- …each client's financial journey is uniquely crafted for their goals. Commerce Trust is a division of Commerce Bank. About This Job The main purpose of this job is to ... provide compliance advice with respect to implementation of, and ...Commerce Trust is exempt from the definition of "broker-dealer", securities -based licenses, such as FINRA Series 7/24 or MSRB… more
- SMBC (Jersey City, NJ)
- …the Director of Issues Management. This role and team will be responsible for compliance issues management from the Americas Division (AD) perspective. This is a ... SMBC Group offers a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has more than 130… more
- SMBC (Jersey City, NJ)
- …a competitive portfolio of benefits to its employees. **Role Description** SMBC's Compliance Department Americas Division ("CPAD") is seeking a Compliance ... SMBC Group offers a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has more than 130… more