- BD (Becton, Dickinson and Company) (Warwick, RI)
- …and management reporting as required * Assist with financial modeling for various investment proposals * Assist with ensuring compliance with corporate financial ... and management reporting as required + Assist with financial modeling for various investment proposals + Assist with ensuring compliance with corporate financial… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …**:** + Concepts, practices, and procedures of securities industry and/or banking compliance reviews. + Fundamental investment concepts, practices and procedures ... corporations and municipalities through its subsidiary companies engaged primarily in investment and financial planning, in addition to capital markets and asset… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …**:** + Concepts, practices, and procedures of securities industry and/or banking compliance reviews. + Fundamental investment concepts, practices and procedures ... corporations and municipalities through its subsidiary companies engaged primarily in investment and financial planning, in addition to capital markets and asset… more
- Bloomberg (New York, NY)
- …linkages between datasets and is crucial for use cases including regulatory compliance , risk modeling, investment analysis, counterparty exposure, and ownership ... workflows that rely on accurate entity data, such as client onboarding, compliance , KYC, counterparty risk, and issuer classification. Does this sound like you?… more
- Citigroup (New York, NY)
- …business case, requirements, scope product releases, tracking business priorities, investment tracking and incorporating regulatory and compliance requirements ... releases, agreeing to and tracking business priorities, incorporating regulatory and compliance requirements and investment tracking + Conceptualizes, plans,… more
- Raymond James Financial, Inc. (Tampa, FL)
- …**Knowledge of** + Company's working structure, policies, mission, strategies and compliance guidelines. + Advanced investment concepts, practices and procedures ... publication. + Acts as a liaison for all projects with the Marketing and Compliance Depts to develop marketing concepts that align with business strategy and brand… more
- TD Bank (New York, NY)
- …within a global financial institution, preferably in a control room or compliance function + Deep understanding of investment banking products, services, ... New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $225,000 - $250,000 USD TD is committed to providing fair… more
- JPMorgan Chase (Pittsford, NY)
- …Responsibilities:** + Monitor and analyze active account and book reviews to ensure compliance and optimize client investment strategies. + Ensure team members ... & Wealth Management division, you'll be at the forefront of global investment management, providing innovative solutions in equities, fixed income, real estate,… more
- KeyBank (Amherst, NY)
- …wealth management products and services (eg - trust, private banking, securities/ investment management) as well trust/fiduciary related compliance , operations, ... sponsored certifications in wealth management, trust, and/or fiduciary risk management and/or compliance (eg - CFIRS (Certified Fiduciary & Investment Risk… more
- BMO Financial Group (Chicago, IL)
- Control Testing Specialist, Wealth - Regulatory Compliance This role will deliver on components of the 1LOD testing plans for Wealth LOBs' in accordance with the ... Enterprise Compliance Program and Operational Non-Financial Risk Framework. + Execute...Familiarity with Key Regulations applicable to Wealth Management and Investment Funds (eg SEC, OCC, etc.). + Excellent data… more