- Beacon Hill Staffing Group, LLC (Greenwich, CT)
- …and filing (paper and electronic)Database and document management (SharePoint, Compliance Science)Personal trading review and account maintenanceEditing ... Investment Firm, is seeking an Administrative Assistant to support the Legal & Compliance Team in their Greenwich, CT office from 8:30am - 5:30pm, Monday-Wednesday… more
- Russell Tobin & Associates (New York, NY)
- …for Trading Voice Recording Operations and Senior Management teams. Compliance and Litigation Team support with data search, extraction, and delivery as/when ... product monitoring, health checks delivery, technical support and testing of the Trading Voice and Voice Recording infrastructure. Scope: Regional support of North… more
- TradeStation (Plantation, FL)
- …through unwavering professionalism, courtesy, and a steadfast commitment to compliance and surpassing client expectationsSkills and Training: The successful ... with client inquiries In depth knowledge of multiple institutional trading platforms and the competition in our industry An...- 10 years of Institutional financial services sales and trading experience Prior client facing experience in sales and… more
- EDI Staffing (Lynbrook, NY)
- …submission/ recovery. 3. Keeps current with industry trends and state/federal compliance initiatives 4. Supports clients and coworkers 5. Communicates internally and ... 12. Manages the technical efforts associated with implementing complex EDI trading partners. 13. Participates in implementation meetings with clients and vendors… more
- American Honda Motor Co Inc (Torrance, CA)
- …Lead, Environmental Regulatory Affairs manages PRO's environmental regulatory compliance strategy activities, including: reviewing and evaluating line-up strategy ... and correlation with other business units; credit trading activities; and providing environmental regulatory interpretations for both existing and new/nascent… more
- nrg (Princeton, NJ)
- …securities laws, with particular focus on '34 Act and '33 Act reporting, NYSE compliance , Regulation FD and insider trading policyPrepare and review SEC filings, ... corporate and securities matters for a publicly traded company, including ensuring compliance with SEC and NYSE rules and regulations; preparing and reviewing SEC… more
- WSFS Bank (Wilmington, DE)
- …personal trust accounts and relationships, including those of high-net worth individuals; Compliance and legal projects as required; Support other duties that may ... include seasoned experience with trust & accounting recordkeeping systems; trading systems; technical expertise in accessing trade and confirm information… more
- WSFS Bank (Wayne, PA)
- … trading team with internal and/or external counterpartiesEnsure all compliance requirements are addressed and documented (eg, sanction screening)Identify and ... report all suspicious and/or fraudulent activityInitiate cross-border payments in SwiftInitiate domestic payments to dealing counterparties within the bank's domestic portalPrepare manual journal entriesFacilitate foreign check clearing through bank external… more
- WSFS Bank (Philadelphia, PA)
- …and application of fiduciary and investment principles, including Reg 9 compliance requirementsMust have knowledge of securities processing and clearingMust have ... knowledge of investment systems to support trading and performance analysis (First Rate and Investor's View specifically) and technology to support recordkeeping and… more
- Russell Tobin & Associates (Jersey City, NJ)
- …the ability to persuade and influence stakeholders at the team level.* Compliance Culture and Conducto Takes full responsibility for personal actions and ... includes documenting all issues and working to escalate as needed.* Agency trading business knowledge is preferred.* Experience working on projects involving Fidessa… more
- nrg (Princeton, NJ)
- …position also has responsibility for ASC 815 (FAS 133) compliance including commodities, foreign exchange, and interest rate transactions.Essential ... NRG's SEC filings.Monitor the internal control environment and ensure compliance with Sarbanes Oxley Sec. 404 legislation as it...system is a plus. Knowledge of Aligne/Zai*net or similar trading system is a plus.Prior experience in the energy… more
- Nucor Harris Rebar (Cincinnati, OH)
- …Resources Manager position. DJJ is a world leader in scrap metal recycling, trading , and transportation. We have relationships with scrap metal businesses around the ... functions such as recruiting, training and development, wage/benefit administration, compliance with statutory requirements, teammate engagement, performance evaluations, workers… more
- Nucor Harris Rebar (Fort Myers, FL)
- …role. Trademark Metals is a world leader in scrap metal recycling, trading , and transportation. We have relationships with scrap metal businesses around the ... developing and coaching staff Serve as a role model; support and ensure compliance with all safety and environmental policies and practices Support manager in… more
- Nucor Harris Rebar (Cincinnati, OH)
- …Senior Accountant position. DJJ is a world leader in scrap metal recycling, trading , and transportation. We have relationships with scrap metal businesses around the ... work papers for internal and external auditors Assists in ensuring Sarbanes-Oxley compliance Assists with the implementation and testing of new ERP systems Performs… more
- NextEra Energy (Juno Beach, FL)
- ** Trading Compliance Analyst** **Date:** Jun 19, 2024 **Location(s):** Juno Beach, FL, US, 33408 **Company:** NextEra Energy **Requisition ID:** 77639 is one of ... renewable energy portfolio in North America. We also provide marketing and trading services to electric and gas utilities, municipalities, cooperatives and other… more
- JPMorgan Chase (New York, NY)
- …for JPM Wealth Management clients. Your role will focus on fixed income trading Compliance , including taxable and municipal bonds. **Job Responsibilities** + ... Compliance team you will support JPM Wealth Management trading desks inclusive of executing client orders in primary...standards which set forth the requirements for fixed income trading regarding the management and oversight over compliance… more
- US Bank (Minneapolis, MN)
- …**Job Description** Partners with leaders in their assigned Line of Business, Risk/ Compliance /Audit (RCA) Consultants, and other RCA Managers to, depending on the ... effective risk management framework. Lead projects and/or activities that ensure compliance with applicable federal, state, and local laws and regulations.… more
- Talen Energy (Houston, TX)
- …ISDAs + Familiarity with AMAs, PPAs, EMAs + Knowledge of Dodd-Frank and trading compliance + Understanding of FCM agreements + Experience with ... to the company's corporate vision, values, and high ethical standards. + Ensure compliance with commercial agreements and trading regulatory regimes. + Support… more
- Scotiabank (New York, NY)
- …in day-to-day activities and decisions. + Manage trading inventories and generate trading revenues in compliance with limits and the bank's risk profile. + ... Managing Director, New York Loan Trading **Requisition ID:** 202005 **Salary Range:** 400,000.00 -...business controls to meet obligations with respect to operational, compliance , AML/ATF/sanctions and conduct risk. + Champions a high… more
- Hold Brothers (New York, NY)
- …goals are delivered. We are seeking a highly skilled and experienced public equities trading Compliance Officer to join our team. The Compliance Officer ... Legal or related field + 4+ years of experience in public equities trading compliance + Series 7 required, Series 24 preferred or attained upon hiring. +… more
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