- US Foods (Rosemont, IL)
- …or executive officers, etc. + Support transactions and financial restructurings related securities law and corporate governance compliance including setting up ... Our Community of Food People! The Corporate Paralegal will provide Governance and Securities needs and is an important member of the Corporate Legal team helping… more
- Neuberger Berman (New York, NY)
- …the "Trust Companies") are seeking a skilled and experienced Trust Investment Oversight Officer to join our team. The Trust Companies support the Private Wealth ... Personal Trusts, Collective Investment Trusts (CITs), and Outsourced Chief Investment Officer (OCIO) clients, such as endowments, foundations, and pension funds. The… more
- Citigroup (Miami, FL)
- A Service Officer provides service support to the Citi Private Latin America businesses. Their focus is to ensure that effective client service is provided to our ... relationships they build to recognize business growth opportunities. The Service Officer strives to continuously improve all of its end-to-end processes, procedures… more
- TD Bank (New York, NY)
- …who can provide you more specific details for this role. **Job Description:** TD Securities Compliance team is seeking a Director-level candidate to lead the ... Chief Data Officer (CDO), Data and Delivery Initiatives (DDI) team, Compliance Technology, First-Line Risk and Control, and Front Office Technology to deliver a… more
- NatWest Markets (Stamford, CT)
- …**Swap Dealer Testing VP (2LOD)** Reporting to the Senior Monitoring and Testing Compliance Assurance Officer this role is responsible for assessing ... business. + Good knowledge of swap dealer regulations, and securities products and compliance including knowledge of CFTC, DTCC, NFA regulation. + Knowledge… more
- ADM (Chicago, IL)
- …**Job Title:** Paralegal - Chicago, IL **Department/Function:** Legal, Compliance , Regulatory Affairs, Corporate Security **Job Description:** **Paralegal - ... plan records. Under the supervision of the Associate General Counsel, Corporate, Securities and M&A, the Paralegal will: **Day-to-Day Duties:** + Collaborate with… more
- NatWest Markets (Stamford, CT)
- …the proper operations of the department and the business._ **Job Description** The Compliance Advisory Officer reporting to the Compliance Advisory Lead ... will serve as a Sales and Trading Compliance Advisory and Conduct Risk Officer for...tuition reimbursement. **It is the policy of NatWest Markets Securities Inc. and its parent, affiliates and/or subsidiaries to… more
- Ally (Lansing, MI)
- …Office and across the company to support Ally's corporate-governance and securities -law compliance responsibilities at both the public-company and subsidiary ... in director-education activities. * Assist in director and executive officer on- and off-boarding and related tasks. * Manage...regulatory examinations and internal and external audits. * Support securities law compliance matters, such as … more
- S&P Global (Boulder, CO)
- …analytical activities within other divisions, as needed. **The Impact:** As a Review Officer , you will join a team of risk management professionals representing S&P ... innovation and power global markets. S&P Global has a Securities Disclosure and Trading Policy ("the Policy") that seeks...holding and trading. The Policy is designed to promote compliance with global regulations. In some Divisions, pursuant to… more
- SMBC (Jersey City, NJ)
- …SMBC Group offers a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has more than 130 ... in the Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets, Inc., SMBC MANUBANK, JRI America, Inc.,… more
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