- Raymond James Financial, Inc. (New York, NY)
- …compliance to support the design, implementation and supervision of a comprehensive compliance program with focus on Equity Research and Investment Banking ... more
- University of Kansas (Lawrence, KS)
- …by what is mutually beneficial to the needs of JAA and the advisor . ** Reg /Temp:** Regular **Application Review Begins:** 24-Feb-2025 **Anticipated Start Date:** ... more
- University of Kansas (Lawrence, KS)
- …by what is mutually beneficial to the needs of JAA and the advisor . ** Reg /Temp:** Regular **Application Review Begins:** 24-Feb-2025 **Anticipated Start Date:** ... more
- University of Kansas (Lawrence, KS)
- …by what is mutually beneficial to the needs of JAA and the advisor . ** Reg /Temp:** Regular **Application Review Begins:** 24-Feb-2025 **Anticipated Start Date:** ... more
- RGP (Torrance, CA)
- …and review regulatory compliance requirements, specifically focusing on regulations such as Reg D and AB, and ensure all transactions adhere to legal and ... more
- MUFG (Tampa, FL)
- …operating effectiveness, and sustainability of cloud security controls to ensure compliance with applicable laws, regulations, and internal policies. + Review and ... more
- Capital One (Mclean, VA)
- …One and includes Corporate Treasury. While working within the Compliance Management Program framework, the Compliance Advisor Manager is responsible for ... more
- Capital One (Mclean, VA)
- …upon number of hours to be regularly worked. McLean, VA: $146,100 - $166,700 for Compliance Advisor Manager Plano, TX: $132,800 - $151,600 for Compliance ... more
- Capital One (Mclean, VA)
- …This Director is responsible for the management and oversight of a robust Compliance Management Program (CMP). The successful candidate will be self-starting and ... more
- US Bank (Minneapolis, MN)
- …primarily is responsible for the development and monitoring of USBAM/PFMAM SEC Rule 206(4)-7 Compliance Program as it relates to the oversight and due diligence ... more
- US Bank (St. Paul, MN)
- …Supervision Principal to assure adherence to FINRA, MSRB, OCC, and internal compliance polices.** **2. Acts as the primary compliance consultant/resource for ... more
- US Bank (Fargo, ND)
- …and retention of existing accounts. Administers accounts in a manner which ensures compliance with the governing documents, state statutes and US Bank policies and ... more
- US Bank (Minneapolis, MN)
- …and individuals at US Bank to serve as a trusted legal and business advisor . Successful candidates for positions in the US Bank Law Division consistently provide ... more
- US Bank (San Francisco, CA)
- …with Senior to Executive Leaders in their assigned Line of Business, Risk/ Compliance /Audit (RCA) Consultants, RCA Managers and other Senior RCA Managers to, ... more
- US Bank (Milwaukee, WI)
- …assigned to a servicing team who helps support the day-to-day financial and compliance operations of a mutual fund, exchange-traded fund, closed end fund and/or ... more
- US Bank (Tempe, AZ)
- …general ledger accounting, prime broker/bank cash reconciliations, advisor /portfolio management processing, corporate action application, expense accrual/payment ... more
- US Bank (Milwaukee, WI)
- …at-all from Day One. **Job Description** Supports the day-to-day financial and compliance operations of a mutual fund, exchange-traded fund, closed-end fund and/or ... more
- US Bank (Charlotte, NC)
- …with management of heightened risk events - Interacting with operations, risk, and compliance partners to ensure compliance with applicable laws and regulations, ... more
- US Bank (Salt Lake City, UT)
- …items beyond specified authority to the assigned Private Wealth Management Advisor or respective specialist. Works proactively to identify potential problems, ... more
- US Bank (Orange, CA)
- …regulatory standards are met - Has a deep understanding of the Wealth Management Advisor 's business model, needs and key drivers as well as the sales process - ... more