- 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
- Packing Corp of America (Lake Forest, IL)
- …procurement, risk management, litigation, and transportation. Principle Accountabilities: + The Securities lawyer ensures compliance with the Securities ... 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
- Truist (Atlanta, GA)
- …the following job description:** This position performs assigned duties within Securities Operations unit for the Wealth Management business. This position will ... time. 1. Participate in various processing functions for Wealth accounts, including securities and investment related transactions. 2. Assist in the creation of… 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
- Citizens (Boston, MA)
- …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
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …via webinars, and newsletters. * Conducts complex research and reports findings to Compliance , Legal, Division Supervision, and Division Management partners. ... Skills, and Abilities** **Knowledge of:** * Concepts, practices, and procedures of securities industry compliance reviews. * Rules and regulations of the… more
- State of Georgia (Fulton County, GA)
- …Acts to Division staff members, including but not limited to Compliance Examinations staff, registration analysts, licensure analysts, and Division and ... + Assist designated Division staff with the registrations and compliance inspections of registered entities, including but not limited to charity organizations,… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …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)
- …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
- 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)
- …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
- 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
- State of Nevada (NV)
- COMPLIANCE /AUDIT INVESTIGATOR 2 APPROXIMATE ANNUAL SALARY - $59,257.44 to $87,570.72 PAY GRADE: 33 The salary range indicated in this announcement is based on the ... in this geographical location. Department: Business and Industry (http://business.nv.gov/) Division : Industrial Relations Location: Las Vegas, Boulder City, Indian… 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
- Edward Jones (St. Louis, MO)
- …has dual accountability to the Bank President and senior leadership in the Edward Jones Compliance Division . **What you'll do:** + Serve as a trusted advisor on ... of applicants. THIS POSITION IS LOCATED IN SALT LAKE CITY, UTAH. The Chief Compliance Officer (CCO) of Edward Jones Bank is responsible for designing, building and… more
- Truist (Charlotte, NC)
- …broker-dealer and investment adviser affiliates related to the regulation of securities products and investment advisory services to business constituents. The role ... adviser and insurance agency. 2. Provide counsel to the line of business, compliance and regulatory reporting functions in the drafting of disclosures, and providing… 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
- M&T Bank (Clanton, AL)
- …by executing program activities that prevent, detect and mitigate regulatory and compliance risk across the division . **Primary Responsibilities:** . Provide ... as the Second Line of Defense, potentially impacting the enterprise, and ensure ongoing compliance across the division and enterprise . Provide Second Line of… more
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