- Wells Fargo (New York, NY)
- …successful completion and clearing of a background check. Internal transfers are subject to compliance with 17 CFR 240.17f-2 of the Securities Exchange Act of ... + Required licensing SIE, S63, S79 must be completed within 90 days of hire date. + This position is subject to FINRA Background Screening Requirements, including… more
- Aristotle Capital Management (Los Angeles, CA)
- …a $10 million annual budget. The role also involves ensuring compliance with licensing agreements, conducting market data audits, optimizing processes, and ... optimization and reinvestment opportunities. + Establish firmwide controls to ensure compliance with licensing agreements and regulatory standards + Partner with… more
- Siemens (Raleigh, NC)
- …Project Manager, Finance based in Wendell, North Carolina and is a remote position .** The CPM will manage Strategic Customer projects within SI EA Utility vertical. ... limited to handling Accounting, Legal, Tax, New Collaboration Model (NCM) and Export Compliance and Control (ECC) topics. Ensure compliance of regulations during… more
- Citigroup (Tampa, FL)
- …services, including consumer banking and credit, corporate and investment banking, securities brokerage, transaction services, and wealth management. As a bank with ... together. The Info Sec Prof Senior Analyst is an intermediate level position responsible for leading efforts to prevent, monitor and respond to information/data… more
- Wells Fargo (Battle Creek, MI)
- …in a dynamic and complex environment **Job Expectations:** + Specific compliance policies may apply regarding outside activities and/or personal investing; affected ... shared about expectations during the recruitment process. + This position is not eligible for Visa sponsorship. This ...subject to comply with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article… more
- Wells Fargo (Charlotte, NC)
- …SWIFT Industry initiatives, Wire payments + Experience with Prime, Securities Operations/Broker Dealer processes and/or applications and systems + Working ... in an organized manner under pressure and time constraints **Job Expectations:** + This position offers a hybrid work schedule at the locations listed + This … more
- State of Massachusetts (Boston, MA)
- …talents to serve our citizens. *_About the Role:_* The basic purpose of this position is to serve as a licensing coordinator within the Division of Insurance. The ... work associated with this position shall include, but not be limited to, the...do business in the Commonwealth of Massachusetts - including compliance with Massachusetts laws, regulations and regulatory bulletins, financial… more
- Unilever (El Segundo, CA)
- …of the Trade Team to execute Liquid IV's Annual Trade Plan and ensure compliance with trade strategy budgets and guidelines. **Functions and duties of this role ... business administrator in TPM tool to cover user set-ups and training, securities , minor system troubleshooting, and dashboard reporting development. + Provide level… more
- Lilly (Indianapolis, IN)
- …Schedule), fraud and abuse laws (eg, AKS, False Claims Act), antitrust, securities , product liability, or complex commercial claims + Experience with government ... providing legal support to corporate risk functions (Ethics & Compliance , Internal Audit, and Risk Management) at or for...in the workforce, ensuring equal opportunities when vying for positions . If you require accommodation to submit a resume… more
- Dominion Energy (Richmond, VA)
- …you. You won't just find a job here; you'll find your career. Review the position below and apply today. At this time, Dominion Energy cannot transfer or sponsor a ... work visa or employment authorization for this position . **Job Summary** Provide support to a select group within the CFO organization including Treasury, Financial… more