- MUFG (Tampa, FL)
- …Promote a high degree of awareness of risk, risk control measures, and compliance policies and procedures among all staff members. Participate in work unit/RC ... is not subject to a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2) or 8a(3) of the Commodity… more
- Bank of America (Charlotte, NC)
- …Accounting, Quantitative, or Economics + Experience analyzing fixed income securities , interest rate derivatives + Experience withSAP / Oracle(general ledger ... + Financial Analysis + Financial Forecasting and Modeling + Adaptability + Regulatory Compliance + Reporting + Risk Analytics + Scenario Planning and Analysis +… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …+ Ensures monthly minimum wage requirements for commissioned associates are in compliance . + Creates, reviews and/or audits reports on a regular basis. Provides ... concepts and practices. + Principles of banking and finance and securities industry operations. **Skill in:** + Analyzing financial information. + Performing… more
- Citigroup (Irving, TX)
- …services, including consumer banking and credit, corporate and investment banking, securities brokerage, transaction services, and wealth management. As a bank with ... firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying… more
- MUFG (Tampa, FL)
- …and efficient manner. **Main Responsibilities:** * Execution of test plans in compliance with applicable policies and guidance within the BURCO function, including ... is not subject to a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2) or 8a(3) of the Commodity… more
- Janus Henderson Investors (Denver, CO)
- …Track and manage business expenses, including processing expense reports in compliance with company policy. + Maintain confidentiality and handle sensitive ... of our Investment Advisory Code of Ethics related to personal securities activities and other disclosure and certification requirements, including past political… more
- Bank of America (Charlotte, NC)
- …of market facing funding activities for long-term products including debt and capital securities , primarily at BAC and Bank of America, NA; (2) partnership with ... reporting + Implement routines and a robust control environment that achieves compliance with all policies, procedures and directives relating to execution + Engage… more
- DuPont (Valley View, OH)
- …skills-based validation and training program. + Audit processes to ensure compliance with quality practices and work instructions throughout the facility + ... and effectiveness of Form 10 registration statements with the US Securities and Exchange Commission, applicable regulatory approvals, and satisfactory completion of… more
- Citigroup (Irving, TX)
- …services, including consumer banking and credit, corporate and investment banking, securities brokerage, transaction services, and wealth management. As a bank with ... firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying… more
- RELX INC (Chandler, AZ)
- …news collections, regulatory insights, and powerful analytical tools for compliance , transactional and financial reporting professionals. Intelligize offers a ... MLS, JD or other advanced degree preferred + Industry knowledge of Securities disclosure and regulation highly favored + Experience performing simple and complex… more