• Senior Advisor, PCG Branch Exams

    Raymond James Financial, Inc. (New York, 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. (07/18/25)
    - Save Job - Related Jobs - Block Source

  • Director, Senior Regulatory Officer (Cyber, IT,…

    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 (06/26/25)
    - Save Job - Related Jobs - Block Source

  • Managing Director, Financial Reporting

    Truist (Charlotte, NC)
    …**Please review the following job description:** Effectively manage overall operational and compliance risk related to SEC and Climate reporting for Truist. Ensure ... distributed to the Truist Board of Directors and Executive Leadership, Securities and Exchange Commission (SEC) and Federal Deposit Insurance Corporation (FDIC)… more
    Truist (06/27/25)
    - Save Job - Related Jobs - Block Source
Job Title, Industry, Employer
City & State or Zip Code
20 mi
Advanced Search