- Raymond James Financial, Inc. (Santa Fe, NM)
- …synchronization, and compliance with financial data privacy regulations (DOL, ERISA, SEC , FINRA, GDPR). + Monitor Marketing Cloud performance, including campaign ... sending. **Compliance & Governance** + Ensure adherence to industry regulations including ERISA, SEC , FINRA, and GDPR. + Maintain audit trails for all CRM and… more
- Vanguard (Malvern, PA)
- …deposits into and withdrawals from the special reserve account in compliance with SEC rule 15c3-3 (Customer Protection Rule). VMC is a Vanguard legal entity which ... + Prepares and performs required daily Customer Reserve calculation in accordance with SEC rule 15c3-3 + Prepares and performs required daily deposits into and… more
- Billings Clinic (Billings, MT)
- …the Patient Safety Incident Review Group (PSIRG) and Safety Event Classification ( SEC ) Work Group.%%Investigation of all clinical harm incidents and near misses to ... reports. Presents synopsis of selected cases to PSIRG and Safety Event Classification ( SEC ) Work Group. Recommends plan for taking corrective action. * Supports and… more
- TXNM Energy (Albuquerque, NM)
- …Accounting and Asset Management **PREFERENCES** Power Plan software experience preferred **JOB DESCRIPTION** **Project Manager, Controllers Group** Salary Grade: G05 ... AND RESPONSIBILITIES: Evaluates new accounting transactions for appropriate application of GAAP, SEC , and FERC rules Acts as a liaison across functional and… more
- Northrop Grumman (Morrisville, NC)
- …0 years of software development experience + Either must hold a current CompTIA Security+ ( Sec +) certification, or if do not possess must be able to obtain a CompTIA ... Security+ ( Sec +) certification within 6 months of start date +...framework + Experience with at least 3 of the preferred qualifications ** Preferred Qualifications:** + Terraform +… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …compliance with Raymond James' third-party risk management program, regulatory obligations ( SEC , FINRA), and internal policies. + Implement and optimize CLM ... management, and communication skills. + Deep understanding of regulatory requirements ( SEC , FINRA) and third-party risk management frameworks. + Proven experience… more
- Mizuho Corporate Bank (New York, NY)
- …solid working knowledge of rules around MNPI (ie, Section 15(g) of the '34 SEC Act), research rules (eg, FINRA Rule 2241, 2242, Safe Harbors, Global Settlement), ... time pressure + Be able to interpret and apply SEC , FINRA and other regulatory rules Qualifications: + Bachelor's...desk trading surveillance related to Watch and Restricted list preferred + FINRA licenses (eg, Series 7, 24) … more
- State of Connecticut, Department of Administrative Services (Middletown, CT)
- …licensure, etc., at the request and discretion of the hiring agency. + Preferred Shift/Location: Select all location(s) and shift(s) you are willing to work on ... a clinical social worker in the State of Connecticut. PREFERRED QUALIFICATIONS + Experience working on an inpatient psychiatric...a license to practice clinical social work pursuant to Sec . 20-195 (m-z) of the Connecticut General Statutes. +… more
- State of Connecticut, Department of Administrative Services (Montville, CT)
- …licensure, etc., at the request and discretion of the hiring agency. + Preferred Shift/Location: Select all location(s) and shift(s) you are willing to work on ... Licensure as a professional counselor in the State of Connecticut. PREFERRED QUALIFICATIONS + Correctional or Forensic Behavioral health treatment experience. +… more
- KeyBank (Cleveland, OH)
- …application of accounting policies. + Monitor developments from standard-setting bodies (FASB, SEC ) and summarize key impacts. + Assist in the review and preparation ... 10-Q and 10-K, ensuring compliance with US GAAP and SEC requirements. + Support internal and external audit processes...in Accounting or Finance; CPA or CPA candidate strongly preferred . + 4-6 years of experience in public accounting… more