- BMO Financial Group (Chicago, IL)
- …of specific compliance programs within Global Markets, I&CB, and necessary registrations across all US groups. Works with business/group and internal partners to ... on sensitive Bank, customer, transactional, and employee information to ensure compliance with regulatory requirements. Exercises judgment to identify, diagnose, and… more
- Nuveen Investments (Chicago, IL)
- …enhancements in connection with business transformation initiatives. + Assist the VP, Compliance Officer with oversight of complaints process including intake, ... This role provides Compliance support to Nuveen Global Client Services, with...Experience** + 3+ Years Required; 5+ Years Preferred **FINRA Registrations ** + SRC Indicator: Series 7; Series 24 **Physical… more
- ADM (Chicago, IL)
- …**Job Title:** Paralegal - Chicago, IL **Department/Function:** Legal, Compliance , Regulatory Affairs, Corporate Security **Job Description:** **Paralegal - ... Corporation (DTCC) re stock-related matters. + Support monitoring and compliance with New York Stock Exchange matters and policies...and Exchange Commission (SEC) required Section 16 filings for officer /director activity (SEC Form 3, 4, and 5 as… more