- Robert Half Finance & Accounting (Chicago, IL)
- …experience, ideally in broker-dealer regulatory reporting + Deep understanding of securities markets , trading mechanisms, and relevant financial instruments. + ... + Collaboration: Work with various departments including accounting, trading, compliance, operations , and legal to gather information and address regulatory… more
- UL, LLC (Northbrook, IL)
- As a member of the Legal team, reporting to the VP, Assistant Corporate Secretary, Corporate and M&A, you will serve as a primary attorney for UL Solutions' ... business leadership. A Corporate Counsel acts as a trusted legal advisor and provides legal counseling and...+ Review and prepare SEC filings and advise on securities law matters. + Assist in developing, refining and… more
- Robert Half Finance & Accounting (Chicago, IL)
- …Update and maintain reference data within the security master application for all securities /contracts applicable to the middle market direct lending strategy - ... Responsibilities: * Maintain the Reconciliation and Control functions within the Operations group * Work with offshore reconciliations team and internal/external… more
- Wellington (Chicago, IL)
- …engagement and regulatory examinations + Collaborating with Compliance, Client teams, and Operations to ensure legal and regulatory risk is appropriately managed ... that span nearly all segments of the global capital markets . Our investment solutions, tailored to the unique return...Securities Exchange Act of 1934 + Experience with legal support of Wealth initiatives preferred (eg, marketing, limited-scope… more
- RELX INC (Springfield, IL)
- …accounting firms. About the role As part of the Intelligize Sales Operations Team, the Solution Consultant is responsible for cultivating and maintaining excellent ... MLS, JD or other advanced degree preferred + Industry knowledge of Securities disclosure and regulation highly favored + Experience performing simple and complex… more
- Raymond James Financial, Inc. (Springfield, IL)
- …Options Position Report (LOPR), etc.) + Collaborates with other business units (Brokerage Operations , Trading, Compliance, IT, and Legal ) + Assists and provides ... with **CAT** and **CAIS** , to support our compliance operations and ensure accurate trade and account data submissions....input in the interpretation of new/changing securities rules, regulations, policies or laws; updates processes for… more
- MUFG (Chicago, IL)
- …lifecycle of the trade + On-board clients in coordination with the firm's credit, legal , compliance, and operations teams + Mentor and develop junior salespeople ... venues + Follow news, economic data, macro themes and market narratives for benefit of our traders and clients...a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2)… more