- US Bank (Minneapolis, MN)
- …**Asset Management** **team** US Bancorp Asset Management (USBAM) is an SEC Registered Investment Adviser providing investment management services to institutional ... as back office support functions in operations, accounting, and compliance . **What** **you'll** **do** Wealth & Asset Management Rotational...positions may also be subject to the requirements of FINRA , NMLS registration, Reg Z, Reg G, OFAC, the… more
- US Bank (Minneapolis, MN)
- …Asset Management team** US Bancorp Asset Management (USBAM) is an SEC Registered Investment Adviser providing investment management services to institutional ... as back office support functions in operations, accounting, and compliance . **What** **you'll** **do** Our 10-week paid internship will...positions may also be subject to the requirements of FINRA , NMLS registration, Reg Z, Reg G, OFAC, the… more
- Capital One (New York, NY)
- …mindset with working knowledge of regulatory requirements relevant to the bank's Broker Dealer ( SEC / FINRA ) and Swap Dealer (CFTC / NFA) activities. + Thought ... equal opportunity employer (EOE, including disability/vet) committed to non-discrimination in compliance with applicable federal, state, and local laws. Capital One… more
- EPAM Systems (New York, NY)
- …to model-driven workflows + Understanding of regulatory frameworks (eg, NAIC, Solvency II, SEC , FINRA ) + Experience with DevOps tools (Jenkins, GitLab CI, ... event-driven architectures + SQL databases, real-time data processing + Security, compliance , and auditability within financial systems + Excellent communication and… more
- Motion Recruitment Partners (New Castle, DE)
- …Secrecy Act (BSA), The USA PATRIOT Act, US Treasury AML guidelines, OFAC, SEC , FINRA , FRB, FinCEN requirements, and SAR requirements. + General understanding ... Money Service Businesses, Wealth Management and Retail Banking as well as compliance with those business segments. + Excellent project management skills. + Excellent… more
- Siebert Williams Shank (New York, NY)
- …trading platform, and a sound regulatory capital base. We are a SEC -registered securities broker-dealer and member of the Financial Industry Regulatory Authority ( ... FINRA ) and the Municipal Securities Rulemaking Board (MSRB). Our...all activities and duties are carried out in full compliance with regulatory requirements and internal policies and procedures… more
- Siebert Williams Shank (Chicago, IL)
- …trading platform, and a sound regulatory capital base. We are a SEC -registered securities broker-dealer and member of the Financial Industry Regulatory Authority ( ... FINRA ) and the Municipal Securities Rulemaking Board (MSRB). Our...all activities and duties are carried out in full compliance with regulatory requirements and internal policies and procedures… more
- Jackson National Life Insurance Company (Nashville, TN)
- …maintains effective relationships with other functions (ALM, Treasury, Finance, Actuarial, Audit, Compliance , etc.) to facilitate a holistic view of risk across the ... Asset Management, LLC (JNAM) located in Chicago, Illinois, is an SEC -registered investment adviser and Jackson subsidiary. Annuities are distributed by Jackson… more