- 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...clients. It connects a diverse client base to local markets and the organization's extensive global network. The Group's… more
- 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. (Memphis, TN)
- …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
- 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
- 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
- City and County of San Francisco (San Francisco, CA)
- …practices. In accordance with the annual investment plan, the investment team deploys capital with the objectives of enhancing the structure and diversity of the ... excluded by the Charter from the competitive Civil Service Examination process and shall serve at the discretion of...("APM") of Real Assets, the Managing Director of Private Markets , and the CIO, the IO and the Real… 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 ... critical data elements.** **Work closely with surveillance product owners and compliance stakeholders to translate business detection logic and risk scenarios into… more
- Silicon Valley Power (Santa Clara, CA)
- …term strategic and operational plans, monitor related legislation, regulations, reporting and compliance and serve as the liaison to various stakeholder groups. The ... procurement strategies aligned with our business objectives and evolving energy market dynamics. + _Financial Modeling:_ Utilize production cost modeling to forecast… more
- New York State Civil Service (Albany, NY)
- …New York State and does so by establishing standards for financial solvency, market conduct and corporate oversight and produces regulations, while monitoring the ... compliance of regulated entities with such standards.As an Actuary...review of actuarial issues related to pricing, solvency, and market conduct of casualty insurers conducting business in New… more
- New York State Civil Service (Albany, NY)
- …New York State and does so by establishing standards for financial solvency, market conduct and corporate oversight and produces regulations, while monitoring the ... compliance of regulated entities with such standards.As an Actuary...review of actuarial issues related to pricing, solvency, and market conduct of life and health insurers conducting business… more
- New York State Civil Service (New York, NY)
- …applications teams and the Banking Division's subject matter expert teams (ie, Risk/ Capital Markets , BSA/AML, Accounting, and Internal Audit) servicing Community ... includes 5 years in the banking or financial services industry (legal and/or compliance regulatory experience related to the examination process is a plus).… more
- State of Colorado (Lakewood, CO)
- …reporting requirements Publicly Traded applicant must fulfill, as well as how the securities markets function in order to understand how capital can be, and is ... areas of tax information, financial documentation, asset identification, analysis of the capital structure of a business entity to identify all parties who may… more
- Fifth Third Bank, NA (Rosemont, IL)
- …and investment bankers. + Leverages extensive knowledge of asset-based lending and capital markets activity to provide guidance on and effectively work ... education and experience. + Extensive knowledge of asset-based lending, private equity, capital markets , merger and acquisition structures, and experience with… more
- Veterans Affairs, Veterans Health Administration (Prescott, AZ)
- …an integral part of the maintenance program. Assists in the planning of capital asset and infrastructure to promote the cost-effective maintenance and safety of the ... required. Coordinates and assists with medical device hazard investigations to assure compliance with patient safety goals, Safe Medical Device Act (SMDA), and TJC… more
