- Guardian Life (Columbus, OH)
- …want to be part of a collaborative Legal Compliance Team? As a Lead Compliance Analyst , Park Avenue Securities , and Park Avenue Investment Advisory, you ... 3110 and, in certain circumstances, various state insurance laws. The Lead Compliance Analyst is responsible for developing a risk-based plan for the branch… more
- Citigroup (Getzville, NY)
- The Sec & Derivatives Sr Analyst is an intermediate level position responsible for processing orders and transactions originating from trading desks and branch ... to facilitate the clearance, settlement and investigation of client securities and derivatives transactions. **Responsibilities:** + Resolve complex process problems… more
- Citigroup (Getzville, NY)
- The Sec & Derivat Intmd Assoc Analyst is an entry level position responsible for processing orders and transactions originating from trading desks and branch offices ... to assist in the clearance, settlement and investigation of client securities and derivatives transactions. **Responsibilities:** + Utilize basic industry and… more
- Citigroup (Getzville, NY)
- The Securities & Derivatives Associate Analyst is a developing professional role. This role identifies policy and applies specialty knowledge in monitoring and ... + Individual mapped to this job description is responsible for securities transaction processing execution + Typically related to Securities … more
- TD Bank (New York, NY)
- …York, New York, United States of America **Hours:** 40 **Line of Business:** TD Securities **Pay Detail:** $60,000 - $75,000 USD TD is committed to providing fair ... The team liaises with various TDS and TDBFG support partners, including Finance, Compliance , Human Resources, Technology, and Premises, to advance the needs of the… more
- PNC (Brock, NE)
- …Midland footprint of Kansas City, Dallas, or Birmingham. As a Loan Support Analyst within PNC's Commercial Mortgage Backed Securities (CMBS) Servicing team, you ... have an opportunity to contribute to the company's success. As a Loan Support Analyst within PNC's Midland organization, you will be based in office within the PNC… more
- Citigroup (Tampa, FL)
- We are seeking an Analyst within the Markets Operations Organization supporting our OTC Middle Office Clearing business. This is an intermediate level role ... firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying… more
- Wells Fargo (Charlotte, NC)
- **About this role:** Wells Fargo is seeking a Senior Securities Operations Specialist. This role is critical for the setup, ongoing support, and expansion of ... Some of the key responsibilities include: + The Senior Securities Operations Specialist will own the End to End...Center teams. + Actively monitor, timely updates and ensure compliance for the Workforce Management Policies and Procedures. +… more
- JPMorgan Chase (Newark, DE)
- …facilitate swift credit approvals and enhance client experiences. **Job Summary:** As an Analyst in the Securities Based Lending Team, you will be responsible ... for underwriting credit facilities secured by marketable securities . You will partner with internal stakeholders to manage the credit request lifecycle and ongoing… more
- Carnival Cruise Line (Miami, FL)
- …advice in governance and regulatory matters to support the Company's compliance with applicable reporting and disclosure obligations. This position works closely ... Independence Questionnaires and UK Emolument Forms; review and respond to proxy analyst reports; support Investor Relations by preparing responses to investors and… more
- Robert Half Management Resources (Woodland Hills, CA)
- Description We are looking to bring on board a Sr. Compliance Analyst for a client in California. As a Sr. Compliance Analyst , you will be responsible ... for assisting with all aspects of securities and solicitation services within the team, processing data...a minimum of 7 years of experience as a Compliance Analyst or a similar role. *… more
- The Hartford (Wayne, PA)
- Compliance Analyst - 87LB6E We're determined to make a difference and are proud to be an insurance company that goes well beyond coverages and policies. Working ... a compliance professional to serve as a Compliance Analyst . The candidate will be responsible... compliance experience preferred. + Knowledge of US securities compliance (Investment Company Act of 1940… more
- PPL Corporation (Louisville, KY)
- …accounting and personnel in other departments throughout the Company. Responsibilities ** Analyst I** : + Assist with investment proposals, ensuring that expenditures ... monthly, quarterly, and annual financial reports and filings with the Securities and Exchange Commission (SEC), Federal Energy Regulatory Commission (FERC), Kentucky… more
- MyFlorida (Tallahassee, FL)
- …and coaching sessions. + Three (3) or more years of professional experience in securities regulation, compliance , or risk management, or past or current holder ... GOVERNMENT ANALYST II - 43004796 Date: Nov 5, 2024...and resource for Bureau of Enforcement staff relating to securities regulations, securities industry compliance … more
- Robert Half Accountemps (Boston, MA)
- Description We are in the process of recruiting a Risk Analyst - Investment Compliance in the banking industry, based in Boston, Massachusetts. This role offers ... a long-term contract employment opportunity. The Risk Analyst will be instrumental in managing fund or client...in managing fund or client accounts and ensuring the compliance of both US and non-US mutual funds and… more
- MUFG (Irving, TX)
- …the banking industry? This opportunity might be right for you. As part of the Compliance Analyst Program, the Analyst will work closely with both financial ... globally. Analysts are expected to transition out of the Compliance Analyst Program and into a position...a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2)… more
- Jackson National Life Insurance Company (Lansing, MI)
- …login to Workday and apply through Jobs Hub._** **Job Purpose** **The Senior Compliance Analyst is responsible for the implementation and monitoring of policies ... and corporate compliance initiatives, and providing support for Jackson's Compliance Program. The Senior Compliance Analyst completes assigned… more
- SMBC (Jersey City, NJ)
- …to its employees. **Role Description** SMBC is looking to hire a Financial Crime Compliance ("FCC") Program Governance Analyst reporting to a Director of FCC ... a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has...Program Governance. The FCC Program Governance Analyst will assist the FCC department in the administration,… more
- S&P Global (New York, NY)
- …Level (for internal use):** 11 **About the Role:** **Title** : Senior Analyst - Structured Finance, Americas Public Finance, Corporates, Financial Services, & ... Infrastructure - S&P Global Ratings **Role/Impact:** The Senior Analyst role blends research and quantitative and qualitative analytical skills, client-facing… more
- MUFG (Jersey City, NJ)
- …experienced and dynamic individual to join as a **Vice President,** **Lead Data Analyst and Portfolio Manager for Customer & Compliance ** reporting directly to ... role where the individual works as both a Lead Analyst and a Portfolio Manager for Financial Products. You...Acumen:** + Must have experience in one or more Compliance domains including AML, KYC, Sanctions Screening + Must… more