- Wells Fargo (Charlotte, NC)
- …Risk Analytics team in Corporate and Investment Banking Risk. This position will cover researching, developing, testing, analyzing, monitoring, tool-building, and ... listed above. Relocation assistance is not available for this position . + This position currently offers a...subject to comply with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article… more
- Truist (Charlotte, NC)
- **The position is described below. If you want to apply, click the Apply Now button at the top or bottom of this page. After you click Apply Now and complete your ... matters for Truist Financial Corporation and its subsidiaries to ensure compliance with GAAP, regulatory reporting and affiliate transaction requirements. Such… more
- Truist (Richmond, VA)
- **The position is described below. If you want to apply, click the Apply Now button at the top or bottom of this page. After you click Apply Now and complete your ... items by ensuring that the advisors, OSJs and/or branch offices are in compliance with industry rules, regulations as well as internal policies and procedures.… more
- Fifth Third Bank, NA (Cincinnati, OH)
- …and best practices deemed necessary by key stakeholders (such as Legal, Compliance , Enterprise Risk and Audit partners). Supports Business Controls in advancing risk ... insights to stakeholders. Monitors and manages risks to ensure compliance and validation of program effectiveness with assigned line...7 and 63/66 licenses preferred. + Knowledge of the Securities industry and SEC / FINRA regulations is preferred.… more
- MUFG (Tempe, AZ)
- …+ Development of data, analyses, and presentation materials. In addition to GFCD, the position will also support Americas Compliance and Core Compliance IM ... in leading the coordination and delivery of financial crimes compliance issues program in accordance with the Global Financial...a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2)… more
- Fifth Third Bank, NA (Cincinnati, OH)
- …and best practices deemed necessary by key stakeholders (such as Legal, Compliance , Enterprise Risk and Audit partners). Supports Business Controls in advancing risk ... information and insights to stakeholders. Monitors and manages risks to ensure compliance and validation of program effectiveness with assigned line of business or… more
- ADP (La Palma, CA)
- …meaningful impact. **Bonus points for these:** _Preferred Qualifications_ + Securities Industry Essentials (SIE) and Financial Industry Regulatory Authority (FINRA) ... waiting for? **Apply today!** Base salary offers for this position may vary based on factors such as location,...factors such as location, skills, and relevant experience. Some positions may include additional compensation in the form of… more
- ADP (Florham Park, NJ)
- …FOR THESE:** _Preferred Qualifications_ + Prior quota-carrying experience + Securities Industry Essentials (SIE) and Financial Industry Regulatory Authority (FINRA) ... for? Apply today! jobs.adp.com** **\#LI-BD2** **\#LI-Onsite** Base salary offers for this position may vary based on factors such as location, skills, and relevant… more
- State of Massachusetts (Boston, MA)
- …Law; . Manage a case load of appeals and draft determinations concerning compliance with the Public Records Law; . Coordinate with the Supervisor, attorneys, and ... the chief election officer, chief information officer, and chief securities regulator in Massachusetts. Additionally, the office is charged...from a broad spectrum of backgrounds to apply for positions . It is the policy of The Office of… more
- US Bank (Milwaukee, WI)
- …Description** US Bank Global Fund Services offers fund administration, compliance , legal administration, fund accounting, fulfillment, distribution and marketing, ... custody, securities lending, transfer agent and shareholder services and alternative...clients. Ensure adherence to internal standards, client SLAs and compliance with SEC and IRS regulations. Demonstrate effective work… more