- SMBC (New York, NY)
- …competitive portfolio of benefits to its employees. **Role Description** The SMBC Compliance Advisory Function resides within Compliance Department Americas ... Regulatory Governance Advisory Team within the CPAD Advisory Function provides centralized compliance support across...respond to ad-hoc requests and support the implementation of compliance program enhancements with respect to each… more
- Usaa (San Antonio, TX)
- …resonate with HR and business leaders. Ability toanalyze spend, headcount, and program costsand provide insights that inform investment decisions, trade-offs, ... role, you will bring a unique blend of technical expertise and advisory leadership, as reflected in the following qualifications: Strong capability instorytelling… more
- Neuberger Berman (New York, NY)
- …compliance communications for the firm **Requirements:** + 1 - 5 years of investment advisory or broker-dealer compliance experience + Bachelor's degree ... to contribute to collaborative projects across the firm's global compliance program . **Primary Responsibilities:** + Review and...compliance testing as part of the firm's overall Investment Advisers Act Rule 206(4)-7 and FINRA 3130 … more
- Unknown (Fairfield, CT)
- …facilitating research activities to inform public policy and increase investment in early childhood programs.andlt;/pandgt; andlt;pandgt;Innovation in program ... development, where the Director will convene the Early Childhood Collaborative Advisory Committee for sustained engagement and alignment. The Director will cultivate… more
- Wipfli LLP (Milwaukee, WI)
- …SaaS and PaaS startups to established companies preparing for acquisition or investment . Many of our clients are lean on internal accounting resources and ... guidance on complex accounting matters and transactions + Assist clients with GAAP compliance and the adoption of FASB Accounting Standard Updates . Address client… more
- Principal Financial Group (Sioux Falls, SD)
- …initiatives and new implementations. Collaborate with SMEs (product managers, legal, compliance ) as needed. Contribute to advisory councils and stakeholder ... Monitor and track processing metrics. Maintain documentation in CRM and compliance standards. + Relationship Management: Build and maintain strong relationships with… more
- HSBC (New York, NY)
- …New York, NY, US, 10001 Work style: Hybrid Worker Date: 14 Dec 2025 In compliance with applicable laws, HSBC is committed to employing only those who are authorized ... (GPS), Global Trade Solutions (GTS), Markets and Securities Services (MSS) and Investment Banking. CIB Audit team is responsible for covering all CIB activities,… more
- Ally (Lansing, MI)
- …a range of program areas * Evaluate funding requests to ensure compliance with company policies and alignment with giving priorities * Manage the end-to-end ... and measure the impact of funded programs and ensure compliance with company and regulatory guidelines * Maintain accurate...landscape * Contribute to the development of annual community investment plans and budgets for the assigned markets *… more
- CyrusOne (Chandler, AZ)
- …US regions. Reporting to the Sr. Regional EHS Manager, this role ensures compliance with federal, state, and local EHS regulations while advancing a culture of ... US regions. Reporting to the Sr. Regional EHS Manager, this role ensures compliance with federal, state, and local EHS regulations while advancing a culture of… more
- WK Kellogg Co (Battle Creek, MI)
- …The role of Internal Audit Manager provides independent assurance and advisory services focused on evaluating and enhancing financial governance, risk management, ... within the organization. The main objective is to ensure compliance with policy requirements through rigorous review testing and...+ Health, dental and vision insurance + Savings and Investment Plan with Company match and + contribution +… more
- City National Bank (New York, NY)
- * COMPLIANCE OFFICER SENIOR- INVESTMENT ADVISORY * *WHAT IS THE OPPORTUNITY?* The Senior Compliance Officer will act in a compliance oversight and ... will also be responsible for managing and maintaining assigned areas of the compliance program including monitoring business area compliance with applicable… more
- TD Bank (New York, NY)
- …Qualifications:** We are looking for a Vice President, Compliance - US Corporate Investment Banking Compliance Advisory to join our team in NYC. The ... candidate must have compliance experience in the investment banking space, preferably in an advisory ...President will assist in the management of the firms compliance program supporting all corporate investment… more
- Edward Jones (St. Louis, MO)
- … Supervision Team is responsible for supervising the firm's investment advisory programs, responding to inquiries regarding compliance policies or procedures ... offices and internal departments. Key Responsibilities: * Oversee the performance of an Investment Advisory Supervision Team. * Utilize expertise of firm … more
- Raymond James Financial, Inc. (New York, NY)
- …corporations and municipalities through its subsidiary companies engaged primarily in investment and financial planning, in addition to capital markets and asset ... **Job Summary** _Investment Banking Summer_ _Associates_ _(part of the Capital Markets & Advisory area)_ are given a high level of responsibility on matters of… more
- Raymond James Financial, Inc. (New York, NY)
- …responsibility for developing and delivering an important part of the organization's investment policy. Also responsible for maximizing the value of investments by ... managing an investment department or unit. + Take responsibility for developing...a major part of the organization's financial product development program to enable overall corporate strategy. + Develop and… more
- TD Bank (New York, NY)
- …Description:** **Preferred Qualifications:** We are looking for a Vice President, US Markets Compliance Advisory to join our team in NYC. The ideal candidate ... must have compliance advisory experience with background in OTC...highly-diverse equity research franchise, while growing our strong, diversified investment bank. We are growth-oriented, people-focused, and community-minded. As… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- **Essential Duties and Responsibilities** + Manages Capital Markets & Advisory ("CMA") Compliance 's core compliance program to ensure compliance ... dashboards, to ensure all is aligned with RJF Central Compliance . + Supports the CMA Business Unit Compliance...clearing firm operations. + Financial markets and products. + Investment concepts, practices and procedures used in the securities… more
- T. Rowe Price (Owings Mills, MD)
- …review, interpret and implement new regulatory requirements as well as enhance existing compliance program to ensure regulatory standards are met. The role will ... with more than 85 years of experience, we provide investment solutions and a broad range of equity, fixed...Compliance Team and business units by providing regulatory advisory support. The role requires an expert level of… more
- AECOM (Los Angeles, CA)
- …and privatizations. + Technology-led business transformation. + Capital projects advisory , including project finance and/or infrastructure investment appraisal, ... better time to be at AECOM. With accelerating infrastructure investment worldwide, our services are in great demand. We...and resilient solutions throughout the project lifecycle - from advisory , planning, design and engineering to program … more
- T. Rowe Price (Owings Mills, MD)
- …and up-to-date program in place. + Manages projects from a compliance perspective that span months and quarters (sometimes years); manages to budget, ... with more than 85 years of experience, we provide investment solutions and a broad range of equity, fixed...Role Summary Partners with internal clients to implement strategic compliance initiatives for T. Rowe Price's proprietary and subadvised… more
