- Ralliant (Raleigh, NC)
- …practices, including charters, policies, and insider trading programs. + Ensure compliance with NYSE listing standards, securities regulations, and disclosure ... Governance, this role will serve as a strategic partner on public company compliance , corporate governance, M&A, and financing activity. This is a high-impact role… more
- US Bank (Sussex, WI)
- …and ongoing recruiting and hiring of Financial Advisors to reach market objectives. Ensures compliance with state and federal securities laws as well as US ... within Investment Sales. Directs assigned market's sales efforts and the compliance /administrative duties regarding the sale of investment services through US… more
- AON (Chicago, IL)
- Aon is looking for a Compliance Analyst, Aon Investments US Are you a Compliance Analyst with experience within a SEC-registered investment adviser? This could ... Investments USA Inc. ("AIUSA") is a registered investment adviser with the Securities and Exchange Commission ("SEC"). Aon's investment consulting business is a… more
- Mizuho Corporate Bank (New York, NY)
- …businesses, products, and functions including banking and underwriting businesses, securities markets, legal, compliance , risk management, operations, treasury, ... SIFMA) to identify supervisory trends and coordinate the firm's position on regulatory matters. *Maintains and updates regulations library.*Tracks implementation… more
- HSBC (New York, NY)
- …understanding of the regulatory reporting rules & environment and ensuring HSBC is compliance with CFTC, CSA, and SEC Securities -based Swap Dealer regulations. + ... and controls supporting Trade and Transaction Reporting (CFTC, CSA and SEC Securities -based Swap Reporting) + Management of governance framework and controls around… more
- Robert Half Legal (Fort Lauderdale, FL)
- …to secure favorable terms for the organization. * Analyze and interpret securities regulations, advising on compliance and strategic considerations. * ... for a skilled Attorney with expertise in corporate finance, securities , and mergers and acquisitions to join our team...regulatory filings, including those required by the SEC, ensuring compliance with applicable laws. * Respond to inquiries from… more
- Marex (New York, NY)
- …activities as well as knowledge of various regulatory reporting requirements. The position will primarily focus on providing real-time compliance advisory ... visit www.marex.com (http://www.marex.com/) Purpose of Role: Marex is seeking a Senior Compliance Officer - Broker Dealer Advisory who will provide compliance … more
- JPMorgan Chase (New York, NY)
- …risk disclosures, capital-driven limit, reporting requirements, and the management of securities -based swaps; ensuring compliance with FINRA rules, related to ... with Credit Risk SMEs and partners and ensure thorough assessments and compliance by adhering to policies and procedures including Credit Risk Management, Credit… more
- Honeywell (Morris Plains, NJ)
- …to ensure a unified risk assessment and mitigation approach. . Ensure compliance with Sarbanes-Oxley (SOX), Securities and Exchange Commission (SEC) regulations, ... SVP & CFO, offering strategic financial guidance. Your skills in auditing, compliance , risk management, and regulatory matters will support Honeywell's growth. This… more
- JPMorgan Chase (Jersey City, NJ)
- …qualifications, capabilities and skills** + 5+ years experience working in securities regulation, regulatory agencies, compliance , law, law enforcement, or ... level bank employees in Legal, Human Resources, Employee Relations, Compliance , and/or Audit throughout the course of any investigation....and/or Audit throughout the course of any investigation. This position requires the use of one or more High… more
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