- CalSTRS (Sacramento, CA)
- …the following skills: + Experience performing HR functions such as recruitment, compliance , resource planning + Excellent written and verbal communications skills + ... base pay in exchange for paid leave credits. This position is subject to PLP 2025 and will have...or minimum of alternate range when applicable. **\# of Positions :** 1 **Work Location:** Yolo County **Telework:** Hybrid **Job… more
- US Bank (Earth City, MO)
- …the assigned market's adherence to FINRA, SEC, MSRB, OCC, and internal compliance policies.** **Manages first line supervision by monitoring associated persons' ... compliance with firm and regulatory risk management policies and...activity referral requirements and processes, as required for this position . Actively works with customers to understand each customer's… more
- AIG (New York, NY)
- …to enhance their education, skills, and knowledge in areas that relate to their current position or future positions to which they may transfer or progress. We ... provide financial security. Make your mark in Global Legal, Compliance and Regulatory Our Global Legal, Compliance ...the company, and key to AIG's strategic initiatives. This position reports to the Deputy General Counsel for Reinsurance.… more
- Applied Research Solutions (Hill AFB, UT)
- …with geographically separated operating units CONUS and OCONUS. This is a full time position located at Hill Air Force Base, UT. Why Work with us? Applied Research ... specifications for both hardware and software, for proper format, content, and compliance with program requirements and standards + Maintain a current drawing… more
- Wells Fargo (Washington, DC)
- …leadership or involvement in professional or academic initiatives **Program Locations** Positions are available in Washington, DC **Pay Range:** Washington, DC: ... $175,000 Yearly This position may be subject to FINRA Background Screening Requirements,...subject to comply with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article… more
- Wells Fargo (Chicago, IL)
- …if not already held. Recognized equivalents will be accepted. **Program Locations** Positions are available in New York and Charlotte, with limited opportunities in ... IL (Chicago): $175,000 Yearly Washington, DC: $175,000 Yearly This position may be subject to FINRA Background Screening Requirements,...subject to comply with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article… more
- BMO Financial Group (New York, NY)
- The BMO Capital Markets Compliance team is hiring for a CCO of it's two US broker-dealer entities in New York, BMO Capital Markets Corp (BMOCMC) and Clearpool ... would manage the implementation, maintenance and administration of the broker-dealer compliance programs. Broker-dealer businesses include. but are not limited to,… more
- Commerce Bank (Kansas City, MO)
- …internal reporting for all CFA systems & partnering to support regulatory reporting and compliance + Provide subject matter expertise & serve as a go-to resource to ... and experience required + 3+ years in information systems required + Securities Industry and related fields experience preferred, including basic regulatory … more
- Wells Fargo (Charlotte, NC)
- …Volcker Risk-based P&L Attribution review, exception resolution, project management, and position and trade maintenance + Interact closely with multiple business ... + Deliver solid understanding of the function, policies, procedures, and compliance requirements + Collaborate and consult with peers, colleagues, and managers… more
- Wells Fargo (New York, NY)
- …training as scheduled + Assist with deal closing including regulatory and compliance requirements Ideal Candidate for this role: + Outstanding problem solving and ... following: volunteerism, student organization involvement, study abroad program(s), leadership position (s), non-profit involvement. + Pursuing a bachelor's degree. All… more