- ExxonMobil (Spring, TX)
- …and corporate facilities. **What Role You Will Play in Our Team** Join ExxonMobil as a Regulatory & Compliance Advisor . Become part of a team responsible for ... tools, (eg policies and procedures, R&R charts) and assist with the preparation of regulatory compliance reports, as required * Keep abreast of upcoming, new and… more
- JPMorgan Chase (New York, NY)
- …with institutional clients, acting as a trusted advisor . + Ensure compliance with all regulatory requirements and internal policies. + Utilize advanced ... **Job Summary:** The Vice President, High Touch Trading will be responsible for executing equity trades...achieving best execution. + Provide strategic market insights and trading strategies to clients. + Monitor market conditions and… more
- Capital One (New York, NY)
- Compliance Advisor Manager Corporate Compliance is seeking a Compliance Advisor Manager to advise Tax Credit Finance and Tax Credit Operations, ... Program drives investments in low-income and underserved communities. The Compliance Advisor Manager will also advise on...Markets + Master's Degree or Juris Doctor + Certified Regulatory Compliance Manager (CRCM) or Certified Enterprise… more
- CIBC (Madison, IL)
- …the referenced compliance program meets its objective. + Monitoring trading activity against investment restrictions and regulatory requirements. + ... Compliance works to identify, assess, manage and mitigate regulatory compliance risk to protect CIBC's reputation...a strong, innovative and relationship-oriented bank. CIBC seeks a Compliance Advisor that will be instrumental in… more
- Principal Financial Group (Des Moines, IA)
- **What You'll Do** Principal is hiring for a Compliance Consultant to provide support to our business partners and build relationships that will strengthen our ... acts as a 2nd line of defense within our compliance program and supports the risk owners. The position...a subject matter expert with a focus on broker-dealer trading operations, surveillance, and supervision as well as for… more
- Truist (Richmond, VA)
- … activity. + Provide oversight and support for open risk, audit, and regulatory issues. + Primary reviewer of advisor Regulation Best Interest documentation ... Regional Sales Management. Review of Electronic Correspondence/Social Media Review to ensure compliance with Regulatory requirements as well as current firm… more
- Southern California Edison (Rosemead, CA)
- …the Clean Energy Revolution** Become a **Modeling, Forecasting & Economic Analysis, Advisor ** at Southern California Edison (SCE) and build a better tomorrow. In ... coordination, implementation, and validation of complex rate-setting processes ensuring all regulatory requirements are accurately and fully reflected in rates. +… more
- BMO Financial Group (Newport Beach, CA)
- …clients around the world. #bmocapitalmarkets We are seeking a results-driven **Global Markets Advisor ("GMA")** with a proven track record in sales to join our ... onboarding, credit and risk colleagues to ensure seamless client experience and compliance with all internal and external policies and procedures + Work closely… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …Duties and Responsibilities:** + Reviews requests for Outside Business Activities to ensure compliance with firm policy and regulatory rules. + Interfaces with ... to administer and analyze complex suitability reviews to detect trends, trading patterns and possible rules violations to ensure adherence to securities… more
- JPMorgan Chase (Newark, DE)
- …+ Assist in identifying and mitigating business risks. + Support audit, regulatory , and compliance deliverables. + Support ongoing procedure and process ... of the trade lifecycle. + Resolving phone and e-mail inquiries regarding trading , data quality issues, application usage, and other miscellaneous items. +… more
- Publicis Groupe (Houston, TX)
- … products (eg, power, gas, oil, renewables). * Experience with regulatory compliance and financial audits in trading environments. * Knowledge of Agile ... and accounting reconciliations. **Stakeholder Communication:** * Act as a trusted advisor to finance, trading , and operations teams, translating complex… more
- Citigroup (Tampa, FL)
- …between Markets Operations and all stakeholders. This includes Market Sales, Trading , Banking, Compliance , Legal, Finance, Human Resources and Technology. ... United Kingdom (Belfast) and with a third-party vendor in India. Sales, Trading , business and client counterparts are scattered globally with key internal… more
- Capital One (Mclean, VA)
- …in compliance testing or monitoring - 3+ years of experience as a compliance advisor in a compliance department for an institutional broker dealer ... Senior Associate, Compliance Tester II Capital One is a diversified...of experience with Net Foreign Assets (NFA), Financial Industry Regulatory Authority (FINRA), Commodity Futures Trading Commission… more
- Vanguard (Malvern, PA)
- …and maintenance of compliance processes and program activities. Performs complex compliance sanctions reviews. Serves as a trusted advisor to Financial ... oversight of regulated activities. Core Responsibilities: + Leads and oversees sanctions compliance processes, including monitoring of trading in the funds, and… more
- Santander US (New York, NY)
- …an effective compliance program is developed and maintained to address compliance with applicable regulatory requirements, global requirements and key ... an effective compliance program is developed and maintained to address compliance with applicable regulatory requirements, global requirements and key … more
- US Bank (Minneapolis, MN)
- …adviser and sub-advisers. This position also will primarily assist with Portfolio and Trading Compliance and the overall daily monitoring of trade activity. This ... procedures and controls. **_Key Responsibilities:_** Assist the Director of Portfolio and Trading Compliance (" Compliance Director") with the compliance… more
- Bank of America (Orlando, FL)
- …Summary:** The Supervisory Management position will serve to ensure regulatory compliance and corporate mandates for all administrative, ... objectives and contributes to the line of business profitability by influencing Advisor business practices in ways that minimize regulatory and financial… more
- Fifth Third Bank, NA (Cincinnati, OH)
- …at Fifth Third Bank. GENERAL FUNCTION: Performs brokerage and insurance regulatory sales supervision functions for the broker-dealer and insurance agency ... subsidiaries of the Bancorp. Mitigate risk of loss and regulatory risk incurred by Fifth Third Securities. Responsible and accountable for risk by openly exchanging… more
- Enterprise Bank & Trust (Clayton, MO)
- …and ability to explain a variety of investment vehicles and options. + Ensure proper regulatory compliance in processes and procedures for the team. + Ensure a ... each case coordinating delivery of these services with the client's Wealth Advisor , Private Banker, Trust Officer and Administrator. Such issues will typically… more
- Citigroup (Getzville, NY)
- …escalation of exceptions (fails/cash breaks/margin disputes, etc) and (iv) regulatory compliance through collecting/posting of eligible collateral, completing ... range of internal stakeholders including Front Office Sales and Trading Desks, Compliance , Legal, Finance and HR;...end to end control framework that fully meets Audit, Compliance and Regulatory requirements + Ensuring the… more