- 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
- JPMorgan Chase (New York, NY)
- …with institutional clients, acting as a trusted advisor . + Ensure compliance with all regulatory requirements and internal policies. + Utilize advanced ... **Job Summary:** The Vice President, High Touch Trading will be responsible for executing equity trades...achieving best execution. + Provide strategic market insights and trading strategies to clients. + Monitor market conditions and… more
- BP Americas, Inc. (Houston, TX)
- …offerings, from serving large wholesale customers to retail end-use consumers. The Senior Advisor , Regulatory Affairs - Power is responsible for supporting bp's ... **Entity:** Supply, Trading & Shipping **Job Family Group:** Communications &...15 years of directly relevant experience in a Commercial, Regulatory , Compliance or Legal environment * Strong… more
- Capital One (New York, NY)
- Compliance Advisor Manager Corporate Compliance is seeking a Compliance Advisor Manager to advise Tax Credit Finance and Tax Credit Operations, ... Program drives investments in low-income and underserved communities. The Compliance Advisor Manager will also advise on...Markets + Master's Degree or Juris Doctor + Certified Regulatory Compliance Manager (CRCM) or Certified Enterprise… more
- CIBC (Madison, IL)
- …the referenced compliance program meets its objective. + Monitoring trading activity against investment restrictions and regulatory requirements. + ... Compliance works to identify, assess, manage and mitigate regulatory compliance risk to protect CIBC's reputation...a strong, innovative and relationship-oriented bank. CIBC seeks a Compliance Advisor that will be instrumental in… more
- ExxonMobil (Spring, TX)
- …externally and internally + Ability to understand tax, accounting, legal, compliance , and regulatory implications in deal structuring and operationalization ... qualified candidate for the position of Structured Trade Finance Advisor to be located at our Houston Campus location...will be an integral member of both the Global Trading Finance and Origination teams with focus on supporting… more
- Southern California Edison (Rosemead, CA)
- …the Clean Energy Revolution** Become a **Modeling, Forecasting & Economic Analysis, Advisor ** at Southern California Edison (SCE) and build a better tomorrow. In ... coordination, implementation, and validation of complex rate-setting processes ensuring all regulatory requirements are accurately and fully reflected in rates. +… more
- BMO Financial Group (Newport Beach, CA)
- …clients around the world. #bmocapitalmarkets We are seeking a results-driven **Global Markets Advisor ("GMA")** with a proven track record in sales to join our ... onboarding, credit and risk colleagues to ensure seamless client experience and compliance with all internal and external policies and procedures + Work closely… more
- Cleco (Pineville, LA)
- …in and lead discussions at meetings of the EMRMC + Manage compliance /reporting of commodity transactions with regulatory (CFTC and Exchange) requirements; ... journey at Cleco where we're Energizing Your Tomorrow. The **Middle Office Advisor ** leads activities to provide governance and control oversight to ensure adherence… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …Duties and Responsibilities:** + Reviews requests for Outside Business Activities to ensure compliance with firm policy and regulatory rules. + Interfaces with ... to administer and analyze complex suitability reviews to detect trends, trading patterns and possible rules violations to ensure adherence to securities… more
- JPMorgan Chase (Newark, DE)
- …+ Assist in identifying and mitigating business risks. + Support audit, regulatory , and compliance deliverables. + Support ongoing procedure and process ... of the trade lifecycle. + Resolving phone and e-mail inquiries regarding trading , data quality issues, application usage, and other miscellaneous items. +… more
- Truist (Charlotte, NC)
- …daily surveillance activities. 5. Work directly with the Fixed Income traders, compliance advisor and operations teammates. 6. Communicate with management with ... years of direct experience in compliance 4. Demonstrated experience with regulatory agencies, requirements, and/or regulatory compliance . 5. Strong… more
- Publicis Groupe (Houston, TX)
- … products (eg, power, gas, oil, renewables). * Experience with regulatory compliance and financial audits in trading environments. * Knowledge of Agile ... and accounting reconciliations. **Stakeholder Communication:** * Act as a trusted advisor to finance, trading , and operations teams, translating complex… more
- Citigroup (Tampa, FL)
- …between Markets Operations and all stakeholders. This includes Market Sales, Trading , Banking, Compliance , Legal, Finance, Human Resources and Technology. ... United Kingdom (Belfast) and with a third-party vendor in India. Sales, Trading , business and client counterparts are scattered globally with key internal… more
- Capital One (Mclean, VA)
- …in compliance testing or monitoring - 3+ years of experience as a compliance advisor in a compliance department for an institutional broker dealer ... Senior Associate, Compliance Tester II Capital One is a diversified...of experience with Net Foreign Assets (NFA), Financial Industry Regulatory Authority (FINRA), Commodity Futures Trading Commission… more
- Vanguard (Malvern, PA)
- …and maintenance of compliance processes and program activities. Performs complex compliance sanctions reviews. Serves as a trusted advisor to Financial ... oversight of regulated activities. Core Responsibilities: + Leads and oversees sanctions compliance processes, including monitoring of trading in the funds, and… more
- Santander US (New York, NY)
- …an effective compliance program is developed and maintained to address compliance with applicable regulatory requirements, global requirements and key ... an effective compliance program is developed and maintained to address compliance with applicable regulatory requirements, global requirements and key … more
- Wells Fargo (El Segundo, CA)
- …of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance ), which includes effectively following and adhering to ... relationships + Proactively provide ideas, research, market information, etc. to facilitate trading activity between Wells Fargo and our investor base + Actively… more
- Bank of America (Charlotte, NC)
- …Summary:** The Supervisory Management position will serve to ensure regulatory compliance and corporate mandates for all administrative, ... objectives and contributes to the line of business profitability by influencing Advisor business practices in ways that minimize regulatory and financial… more
- Fifth Third Bank, NA (Cincinnati, OH)
- …at Fifth Third Bank. GENERAL FUNCTION: Performs brokerage and insurance regulatory sales supervision functions for the broker-dealer and insurance agency ... subsidiaries of the Bancorp. Mitigate risk of loss and regulatory risk incurred by Fifth Third Securities. Responsible and accountable for risk by openly exchanging… more