- Bank of America (Sewickley, PA)
- …along with other requirements governed by the US Securities and Exchange Commission (" SEC ") + CFP(R) or CPWA(R) designation preferred or obtain and/or maintain at ... least one firm approved designation + Understanding of how to deliver a strong overall client experience + Thorough knowledge and understanding of the suite of Wealth Management products and services + Possess and demonstrate strong communication skills +… more
- Athene (West Des Moines, IA)
- …to align governance with regulatory and ethical standards (eg, NIST, NAIC, SEC ). + Maintain master and reference data governance to ensure consistent definitions ... across systems and lines of business. Collaboration & Communication + Serve as the liaison between business units, IT, and analytics teams to ensure data governance supports operational and strategic goals. + Communicate governance outcomes, data quality… more
- Deloitte (Chicago, IL)
- …trends + Exposure to or previous work with major financial services regulators (eg, SEC , FINRA, CFTC, OCC, FCA, DOJ, FRB) Candidates joining our firm should possess ... intellectual curiosity, creativity, and critical thinking in addition to the qualifications below: + Strong oral and written communication skills, including the ability to support or lead business proposal development and sales presentations + Strong… more
- MetLife (Whippany, NJ)
- …middle/back-office operations, investment products (eg, fixed income securities), SEC /FINRA regulations Equal Employment Opportunity/Disability/Veterans If you need ... an accommodation due to a disability, please email us at ###@metlife.com. This information will be held in confidence and used only to determine an appropriate accommodation for the application process. MetLife maintains a drug-free workplace. more
- L3Harris (Melbourne, FL)
- …and working directly with C-Suite and Board-level stakeholders. + Familiarity with SEC regulations, proxy disclosure, and CD&A reporting. + Strong knowledge of ... compensation best practices, trends, and regulatory requirements. + Deep knowledge of compensation structures (base, bonus, equity) and equity vehicles (RSUs, PSUs, etc.) in a publicly traded, global organization. + Strong modeling, analytics, and… more
- State of Minnesota (Brainerd, MN)
- …applicants must meet the requirements for a Mental Health Professional as defined in Sec . 245I.04 MN Statutes, subdivision 2 and must meet the following criteria: * ... Possess and maintain a valid MN driver's license * Master's or doctorate in psychology, social work, behavior analysis, or related field; and * Licensure/Certification in the State of Minnesota as an independent behavioral health professional including LICSW,… more
- Robert Half Finance & Accounting (San Francisco, CA)
- …with broader objectives. Compliance & Risk Management + Ensure compliance with SEC , RIA, and federal/state/local requirements. + Oversee tax filings, payments, 1099 ... reporting, and coordination with third‑party preparers. + Maintain tax basis documentation and support audit readiness. + Identify and mitigate financial, operational, and investment‑related risks. + Support KYC/AML processes and maintain required… more
- BD (Becton, Dickinson and Company) (Franklin Lakes, NJ)
- …10-K, Quarterly Reports on Form 10-Q, Current Reports on Form 8-K, and SEC registration statements, and drafting the annual meeting proxy statement and preparing for ... the annual meeting of shareholders + Providing securities law advice and compliance guidance for earnings releases, investor materials, management presentations and other communications + Providing legal support to the Board of Directors and Board Committees,… more
- Ventura County (Ventura, CA)
- …participate in any loan repayment program not requiring County contribution/participation (UAPD MOA Sec . 709). + Holidays: 13 paid days per year which includes two ... scheduled floating holidays. + Deferred Compensation: Eligible to participate in the County's 401(k) Shared Savings Plan and/or the Section 457 Plan. This position is eligible for up to a 3% match on your 401(k)contributions. + Health Insurance Plans: Medical,… more
- TD Bank (New York, NY)
- …Ensure TDS meet regulatory requirements as it related to surveillance data (eg, SEC , CFTC, NFA, FINRA, FCA, CIRO, etc.) and aligns with internal compliance policies. ... + Technology & Automation: Collaborate with Technology teams and the CDO to enhance data pipelines, improve data validation processes, and create monitoring tools to detect anomalies in surveillance data. + Cross-Functional Leadership: Partner with Compliance,… more