- Citigroup (New York, NY)
- …the E-Trading limits management system. + Lead reviews by global banking and securities regulators, Compliance testing, and Internal Audit of E-Trading business, ... (where relevant) and maintaining strong relationship with the Markets Testing Team, Compliance Testing and Internal Audit. + Provide expert guidance to the… more
- Leaffilter (Toledo, OH)
- …Certifications: + Experience with mergers and acquisitions, joint ventures, joint developments, securities and compliance . Key Competencies: + Adapting to and ... incident reporting and investigation process directly by investigating allegations of ethics, compliance , and labor and employment issues. + Performs other duties as… more
- Banco Popular Puerto Rico (San Juan, PR)
- …Juan, PR Company: Popular Workplace Type: On-site Financial Consultant | Popular Securities Job Type Full Time Exempt General Description The Financial Consultant is ... personalized investment strategies. The Financial Consultant must also ensure compliance with industry regulations and internal policies while maintaining strong… more
- JPMorgan Chase (Boston, MA)
- JP Morgan Alternative Fund Services ("AFS") is part of the Securities Services business group in the Corporate & Investment Bank and is one of the largest fund and ... and records for Hedge/Hybrid and Private Equity funds, ensuring accuracy and compliance with regulatory standards. + Review and approve fund governing documents and… more
- JPMorgan Chase (Jersey City, NJ)
- …marketing language** Be part of a global leader in investment banking and securities services, where your expertise will shape the future of private markets fund ... closely with partners in Operations, Risk, Technology, Product Development, Compliance , and Sales/Relationship Management to deliver best-in-class solutions for our… more
- JPMorgan Chase (Jersey City, NJ)
- JP Morgan Alternative Fund Services ("AFS") is part of the Securities Services business group in the Corporate & Investment Bank and is one of the largest fund and ... functions and internal stakeholders including risk and control groups, audit, compliance , implementation, investor relations, and operations + Ensure adherence to… more
- JPMorgan Chase (Boston, MA)
- JP Morgan Alternative Fund Services ("AFS") is part of the Securities Services business group in the Corporate & Investment Bank and is one of the largest fund and ... functions and internal stakeholders including risk and control groups, audit, compliance , implementation, investor relations, and operations. + Ensure adherence to… more
- JPMorgan Chase (Brooklyn, NY)
- JP Morgan Alternative Fund Services ("AFS") is part of the Securities Services business group in the Corporate & Investment Bank and is one of the largest fund and ... functions and internal stakeholders including risk and control groups, audit, compliance , implementation, investor relations and operations + Ensure adherence to… more
- JPMorgan Chase (Boston, MA)
- JP Morgan Alternative Fund Services ("AFS") is part of the Securities Services business group in the Corporate & Investment Bank and is one of the largest fund and ... external stakeholders including risk and control groups, audit, tax, compliance , implementation and investor relations Required qualifications, capabilities, and… more
- TXNM Energy (Albuquerque, NM)
- …areas of general corporate law, commercial and financial transactions, procurement, securities law compliance , bankruptcy matters, general contracting and/or ... experience + Litigation experience + Transactional law experience + Regulatory compliance experience + Experience with environmental, social, and governance (ESG)… more