- Principal Financial Group (Des Moines, IA)
- …supervision, risk management, and regulatory compliance ? As the Senior Supervisory Officer , Principal Securities , you'll play a meaningful role in protecting ... governing BD/IA activities, including knowledge of trading, sales, and compliance issues in the securities industry +...trading, sales, and compliance issues in the securities industry + Shown experience in developing, implementing, and… more
- Nuveen Investments (Dallas, TX)
- …Americas Distribution, Product, and Global Compliance Programs who is the Chief Compliance Officer of Nuveen Securities , LLC, a registered US ... working for an investment adviser or broker-dealer. + Proven knowledge of relevant securities laws, regulatory compliance , risk management and risk controls. +… more
- TD Bank (New York, NY)
- …your recruiter who can provide you more specific details for this role. **Job Description:** This Compliance Officer is a key member of the TDS US Compliance ... working with regional testing teams across the globe. This Compliance Officer will also support other aspects...at a global financial institution. + Firm understanding of securities and derivatives rules and regulations, and the ability… more
- Stitch Fix (San Francisco, CA)
- …shareholder meeting + Develop and maintain policies and procedures to ensure compliance with SEC and other securities -related regulatory requirements applicable ... proposed corporate and securities laws, best practices, and trends and ensure compliance + Develop and deliver employee trainings on securities law and… more
- Spire Energy (St. Louis, MO)
- …tax. This position is the lead attorney for the purposes of ensuring compliance with securities laws and related corporate governance issues, with significant ... Director, Associate General Counsel, Corporate Governance and Securities Apply now " Date: Jan 7, 2025...Louis, MO, reporting to the Vice President, Chief Administrative Officer & Corporate Secretary. This position will be responsible… more
- S&P Global (New York, NY)
- …executive compensation, compensation, health, benefits, and pensions. **Responsibilities:** + Ensure compliance with public company and securities law matters. + ... Secretary, and will lead a team of three attorneys, including securities , executive compensation, and benefits counsels. **Responsibilities and Impact:** The… more
- Netflix (Los Angeles, CA)
- …Governance ("ESG") reporting. Responsibilities + Support various corporate governance and securities matters, including SEC and NASDAQ compliance , and capital ... for a dynamic Manager to join the Governance & Securities Team within the Corporate Legal Team. The role...16 filings + Prepare and distribute the Director and Officer Questionnaires and related proxy items, as well as… more
- JPMorgan Chase (Jersey City, NJ)
- The Securities Services Operations Transformation (SSOT) - Data Analytics & Intelligent Solutions team is a global function within the Corporate Investment Bank ... the Automation, Data Analytics, and Artificial Intelligence agenda across the Securities Services business. As an Automation and Transformation Associate, you will… more
- JPMorgan Chase (Jersey City, NJ)
- …boost efficiency and streamline processes! As a Workflow Developer on the Securities Services Operations Transformation team, you will be part of the Intelligent ... Solutions team within CIB - Securities Services Operations Transformation. Your role involves building low code/no code solutions for operations users to enhance… more
- MUFG (Tempe, AZ)
- …remotely one day. A member of our recruitment team will provide more details. The Compliance Officer will be a member of the Global Corporate & Investment ... Global Corporate & Investment Banking ("GCIB") business unit. **Roles and Responsibilities:** The Compliance Officer will assist in the management of a robust … more
- CalSTRS (Sacramento, CA)
- Job Posting: Investment Officer I, Investment Compliance State Teachers' Retirement System JC-463577 - Investment Officer I, Investment Compliance ... seeking an experienced individual to work as an Investment Officer I on the Investment Compliance team....information and use of a designated trading platform for securities transactions, as well as filing a Statement of… more
- SMBC (New York, NY)
- …of the broker dealer's compliance risk, and is represented by the Chief Compliance Officer as either a member or observer of various committees such as ... a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has...Management, Compliance , and Training committees. The Senior Compliance Officer role may manage a coverage… more
- Scotiabank (New York, NY)
- Senior Manager, Conduct Compliance Officer **Requisition ID:** 210173 **Salary Range:** 117,400.00 - 224,700.00 _Please note that the Salary Range shown is a ... together to drive ambition for every future! **Purpose** The Conduct Compliance Officer coordinates tracking, measurement, and management for conduct-related… more
- SMBC (New York, NY)
- …of the broker dealer's compliance risk, and is represented by the Chief Compliance Officer as either a member or observer of various committees such as ... a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has...Management, Compliance , and Training committees. The Senior Compliance Officer role may manage a coverage… more
- NatWest Markets (Stamford, CT)
- Senior Monitoring and Testing Compliance Assurance Officer - Swap Dealer Stamford,United States Permanent Full Time \#R-00244248 Our people work differently ... proper operations of the department and the business._ Senior Monitoring and Testing Compliance Assurance Officer reportingto the US General Counsel and the… more
- SMBC (New York, NY)
- …LoD functions including Risk Management and Compliance . **Scope** The Nikko Securities America, Inc. Midback Business Control Officer is primarily an ... a competitive portfolio of benefits to its employees. **Job Summary** The Nikko Securities America, Inc. middle/back office Business Control Officer is a… more
- Scotiabank (New York, NY)
- Senior Manager, Markets Compliance Officer **Requisition ID:** 204138 **Salary Range:** 110,700.00 - 211,800.00 _Please note that the Salary Range shown is a ... and leverage broader Bank relationships, systems, and knowledge. + Provide day-to-day compliance support for equities securities trading and sales businesses by… more
- S&P Global (Englewood, CO)
- …Role:** **Grade Level (for internal use):** 12 **The Team:** The Technology Risk & Compliance Officer will work closely with the Ratings Technology and Data ... provide advice and guidance related to risk, regulatory and compliance . The role will be a point of escalation...for greater opportunity for all. S&P Global has a Securities Disclosure and Trading Policy ("the Policy") that seeks… more
- NatWest Markets (Stamford, CT)
- Director Electronic Trading Compliance Officer , US Stamford,United States Permanent Full Time \#R-00241613 Our people work differently depending on their jobs ... the proper operations of the department and the business. **Director, Electronic Trading Compliance Officer , US** Seeking an experienced compliance … more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …Skills, and Abilities** **Advanced Knowledge of:** + Concepts, practices, and procedures of securities industry compliance . + Rules and regulations of the ... 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