- Prime Therapeutics (Santa Fe, NM)
- …our passion and drives every decision we make. **Job Posting Title** Sr. Compliance Analyst - Remote **Job Description** The Regulatory Inquiry & Complaints ... are met and that business operations are aligned with expectations of applicable regulatory guidance + Develop solutions to compliance problems by referring to… more
- Citigroup (New York, NY)
- …of policies, resolution of potential red flags or other client/transaction-related compliance escalations. + Representing Citi on critical regulatory matters ... Serves as a senior function/business/product compliance risk officer covering North American Cash Equities Sales and Trading businesses. The role is responsible for… more
- TD Bank (New York, NY)
- …New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $140,000 - $180,000 USD TD is committed to providing fair ... more specific details for this role. **Job Description:** The TD Securities US Compliance team is looking for Vice President candidates to join the trade… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …Planning and scheduling work to meet regulatory organizational and regulatory requirements. + Identifying and applying appropriate compliance monitoring ... experience, specialized training and/or certification in securities or banking industry compliance to assist in administering and managing an assigned compliance… more
- Raymond James Financial, Inc. (Pittsburgh, PA)
- …internal customers to identify, research, analyze and resolve complex issues. **Essential Duties and Responsibilities** + Oversees compliance program for an ... + Research compliance issues. + Alerts Senior Management of current regulatory issues. + Researches, interprets, and translates regulatory rules and… more
- NorthWestern Energy (Aberdeen, SD)
- …will play a pivotal role in maintaining our commitment to ethical practices and regulatory compliance . You will be responsible for implementing and monitoring ... in power plants or industrial facilities; environmental, environmental consulting, safety, regulatory compliance , and operations + Valid driver's license and… more
- NextEra Energy (Palm Beach Gardens, FL)
- …_Leadership and Strategy:_ + Develop and implement strategic plans for NERC compliance to ensure adherence to regulatory requirements and standards + ... evidence + Ensure accurate and timely submission of compliance reports to regulatory agencies and internal...between the business unit and the operations teams. **Job Duties & Responsibilities** + Develops and implements effective strategies… more
- MUFG (Irving, TX)
- …and support functions and assisting with efforts to ensure the company's compliance with applicable regulatory requirements. The work involves participation in ... with exposure to various areas within and outside of Compliance , Analysts will gain business, regulatory and...The major responsibilities listed above are the material job duties of this role for which the Company reasonably… more
- City National Bank (New York, NY)
- …- Investment Analytics and Trade Monitoring will establish and develop the Compliance Trade Oversight Program by leading, configuring, and overseeing the design, ... implementation and administration of the compliance rules engine within the Order Management System/Portfolio Management System to mitigate the regulatory ,… more
- Nordstrom (Seattle, WA)
- …complex regulatory frameworks. In this role, you will lead compliance assessments working directly with external assessors, partnering with internal stakeholders ... Provide input and guidance on our security policies and standards to ensure compliance with regulatory requirements + Identify and implement process improvements… more