- Raymond James Financial, Inc. (Memphis, TN)
- **Essential Duties and Responsibilities** + Oversees compliance exception reporting processes and approves corrective actions. + May coach, train, and mentor others ... Compliance associates. + May assist with the development and...in the securities industry. + Principles of banking and finance and securities industry operations. + Financial markets and… more
- Raymond James Financial, Inc. (New York, NY)
- **Essential Duties and Responsibilities** + Oversees compliance and risk-related training and education processes in collaboration with internal stakeholders. + ... processes with key stakeholders. + May coach, train, and mentor others Compliance associates. + May coordinate with stakeholders to develop and implement continuing… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …experience, specialized training and/or certification in securities or banking industry compliance to assist in administering and managing an assigned compliance ... and Responsibilities** + Assists the Capital Markets Fixed Income Compliance team with managing their core compliance ...in the securities industry. + Principles of banking and finance and securities industry operations. + Financial markets and… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …Duties and Responsibilities** + Oversees elements of the RJ Bank compliance program(s) to ensure regulatory requirements are addressed, including: + Insider ... Program + Transactions with Affiliates Program + Manages the Compliance training by collaborating with RJF Compliance ...beneficial but not required + Principles of banking and finance and securities industry operations. + Financial markets and… more
- Banc of California (Santa Ana, CA)
- …WIN(R) **THE OPPORTUNITY** Responsible for performing the Bank's risk based, annual SOX Compliance Program plan and other initiatives in compliance with the ... team members to perform all SOX-related activities in accordance with the SOX Compliance Program plan and methodology. Works with all levels of management, internal… more
- Northrop Grumman (Redondo Beach, CA)
- …they're making history. **Northrop Grumman Aeronautics Systems has an opening for a Sr. Manager International Trade Compliance (M2 level) to join our team of ... personnel on significant and sensitive matters . Maintains applicable trade compliance records and provides reports in accordance with various regulatory… more
- Health Care Service Corporation (Chicago, IL)
- …company that will invest in your professional development. The State Income Tax Manager will lead all aspects of state income tax compliance , reporting, ... research and planning. The State Income Tax Manager will play a critical role in managing state...state-related filings. **JOB REQUIREMENTS:** + Bachelor's degree in Accounting, Finance , or Business Administration. + 5 years related work… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …actions. + Serves as a leader for surveillance staff. + Oversees compliance exception reporting processes and approves corrective actions. + Schedules and oversees ... and streamline functions that improve the operational efficiency of compliance systems. + Serves as a compliance ...in the securities industry. + Principles of banking and finance and securities industry operations. + Financial markets and… more
- NJEDA (NJ)
- Overview Job Summary Manages the Authority's compliance with the New Jersey Conflict of Interest Law (COIL), providing counsel to management, staff, and board ... of those 6 entities. Manages the Equal Employment Opportunity (EEO) compliance program of the Authority, handling or overseeing investigations of discrimination… more
- Robert Half Management Resources (North Haven, CT)
- Description Our financial servcies client needs a Compliance Manager with BSA/AML experience. Responsible for monitoring day-to-day compliance , serve as the ... procedures and work closely with external legal counsel on regulatory requests. Requirements Compliance , AML - Anti Money Laundering, BSA - Bank Secrecy Act Robert… more