• Sr. Advisor, PCG Branch Exams

    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
    Raymond James Financial, Inc. (05/09/25)
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  • Senior Regulatory Officer, Director

    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
    SMBC (04/08/25)
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  • Financial Regulatory Reporting Manager

    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
    Truist (02/19/25)
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