- 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
- CHS Inc. (Inver Grove Heights, MN)
- …and energy commodities. CHS's Compliance & Integrity team is seeking a Global Trading Compliance and New Product Risk Senior Director to oversee, monitor and ... Director will lead the development, governance and administration of trading compliance and new product risk management...on regulated entity risk committee and act as a compliance advisor to its Board of Managers… more
- JPMorgan Chase (New York, NY)
- …essential guidance and oversight to ensure JP Morgan maintains high standards of regulatory compliance . By joining our collaborative team, you will gain broad ... controls + Update team leads and other internal decision-makers on regulatory compliance developments **Required Qualifications, Capabilities, and Skills:** +… more
- JPMorgan Chase (New York, NY)
- …tactical objectives. As a Business Manager within our North America Cash Equities Trading Business, you will optimize business performances by helping to drive key ... initiatives. You will act as a trusted advisor and counterweight to Business/Group Heads, and are responsible...aligning department and support groups (Finance, Tech, Ops, Legal, Compliance ) + Optimize 'bottom line' business performance by driving… more
- Bank of America (New York, NY)
- Direct Markets Coverage Brokerage Services Financial Advisor New York, New York **To proceed with your application, you must be at least 18 years of age.** ... must be at least 18 years of age.** Acknowledge (https://ghr.wd1.myworkdayjobs.com/Lateral-US/job/New-York/Brokerage-Services-Financial- Advisor \_25035237) **Job Description:** Merrill Wealth Management is a leading… more
- Vanguard (Malvern, PA)
- …at the forefront of innovation in investment advisory services. As a Compliance Advisor supporting Vanguard Personalized Indexing Management (VPIM), you'll play ... future of our personalized investing offers. You'll serve as a strategic compliance partner, ensuring regulatory integrity and operational excellence across… more
- TD Bank (New York, NY)
- …to automation and process improvement initiatives to enhance documentation workflows and regulatory compliance . + Prepare and deliver reporting on documentation ... system + Supports internal initiatives related to documentation, process automation, and regulatory compliance **Education & Experience:** + Law degree is… more
- Wells Fargo (Charlotte, NC)
- …of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance ), which includes effectively following and adhering to ... Oversight team withing the Corporate Market Risk Group (CMRG). In addition to trading desk oversight, the Cross Functional Oversight team is responsible for managing… more
- JPMorgan Chase (New York, NY)
- …+ Work with Legal, Compliance , and Risk partners to address regulatory requirements and support risk management in trading and investment activities. ... through agile implementation, with attention to investment execution, asset servicing, and regulatory compliance . + Research and analyze new product capabilities… more
- Wells Fargo (Iselin, NJ)
- … advisor to leadership. Design, develop, and maintain electronic trading systems to meet low-latency, high-throughput requirements for key eTrading components ... trading systems in production environments, ensuring stability, resilience, and compliance with regulatory requirements. telecommuting is permitted up to 2… more
- JPMorgan Chase (Boston, MA)
- …JP Morgan, we've experienced breakthrough growth over the last year. Today, 450 financial advisor firms with $1 trillion in assets (and counting) are using 55ip. As ... This role combines operational understanding, and analytics with market dynamics and trading practices. The VP acts as a liaison between assets managers, traders,… more
- JPMorgan Chase (New York, NY)
- …agile implementation, with a focus on investment execution, asset servicing, and regulatory compliance . + Identify and analyze new product capabilities and ... to support UX design, technology development, and operations. + Collaborate with Legal, Compliance , and Risk to address regulatory exposure and ensure robust… more
- BMO Financial Group (New York, NY)
- …a focus on Capital Market products. This role combines strategic oversight, regulatory engagement, and technical expertise to ensure compliance and resilience ... solid understanding of the business strategies and in-depth product, market, and regulatory knowledge across all retail, commercial, and trading products.… more
- Mizuho Corporate Bank (New York, NY)
- …Maintain and update dashboards and key performance indicators (KPIs) related to regulatory compliance and testing. + Collaborate with operational resilience ... compliance with established capability baselines and risk thresholds. + Ensure compliance with regulatory requirements. + Maintain alignment with internal… more
- Scotiabank (Dallas, TX)
- …pursue effective and efficient operations, ensuring adherence to operational risk, regulatory compliance risk, AML/ATF risk, and conduct risk frameworks. ... management framework for the US portfolio. This role ensures robust risk controls, compliance with regulatory and internal requirements, and the advancement of a… more
- Amazon (New York, NY)
- …systems, real-time trading platforms, risk management systems, and regulatory compliance frameworks - Create exemplary reference architectures that ... wealth management, and institutional securities - Serve as trusted technical advisor to senior technology leadership and C-suite executives, leading technical and… more
- BMO Financial Group (New York, NY)
- …market risk management, debt and equity research, and institutional sales and trading . BMO Capital Markets has approximately 2,700 professionals in 33 locations ... across modalities and development stages. The individual serves as a trusted advisor to internal and external stakeholders. The ideal candidate can translate… more
- Mizuho Corporate Bank (New York, NY)
- …and the broader program to identify areas for continuous improvement. + Ensure compliance with applicable regulatory requirements and serve as a liaison with ... Legal, Compliance , and other functions, serving as a trusted advisor and providing constructive challenge and oversight of resilience-related plans and… more
- Truist (Richmond, VA)
- …Sales Management. + Review of Electronic Correspondence/Social Media Review to ensure compliance with Regulatory requirements as well as current firm policy. ... + Bachelor's degree in Finance or Business. + 7 or more years of regulatory , compliance or supervisory experience + FINRA Series 4 **General Description of… more
- Charles Schwab (Austin, TX)
- …education resources, enabling advisors to exceed client expectations. Dedicated to security, regulatory compliance , and innovation, Schwab empowers RIAs to focus ... to work on site in the specified location(s). Schwab Advisor Services is the industry's leading provider of custody,...the use of digital assets, ensuring security, scalability, and regulatory compliance + Collaborate with peer architects,… more
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