- BlackRock (Princeton, NJ)
- …as Portfolio Management, Global Capital Markets, Relationship Management, Portfolio Compliance , Risk Analytics, Regulatory Reporting, and others, to ensure their ... + Review legal documents to establishterms and conditions associated with new securities purchased. + Prepare materials to be provided to the Valuation Committee… more
- MUFG (Tempe, AZ)
- …testing strategies, process, and execution with risk, governance, and regulatory compliance policies Education + Bachelor's degree in computer science or related ... 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)
- …by: + Annual performance appraisal + Completion of all assigned compliance training Investment areas Has responsibility for supporting portfolios within the ... of our Investment Advisory Code of Ethics related to personal securities activities and other disclosure and certification requirements, including past political… more
- DuPont (Edina, MN)
- …substance abuse testing and have knowledge of DOT requirements. Ensure compliance with regulatory and corporate guidelines. Communicate with employees, line ... and effectiveness of Form 10 registration statements with the US Securities and Exchange Commission, applicable regulatory approvals, and satisfactory completion of… more
- DuPont de Nemours, Inc. (Delaware, OH)
- …Perform chemical and/or physical analyses or scientific tests using routine techniques in compliance with all safety and control standards + Record results of tests, ... and effectiveness of Form 10 registration statements with the US Securities and Exchange Commission, applicable regulatory approvals, and satisfactory completion of… more
- Lac Vieux Desert Northern Waters Casino Resort (Watersmeet, MI)
- …Employee Handbook, Bingo Department Policy and Procedure manual. + Verifies Bingo wins on the securities and master lays down. + One of the two callers to ensure the ... and assume other responsibilities assigned by management. + To remain in compliance with Casino Regulatory policies and procedures, employees are required to attend… more
- DuPont (Wilmington, DE)
- …end-to-end performance including Environmental, Health and Safety (EH&S), compliance , customer performance (delivery and quality), asset reliability, manufacturing, ... and effectiveness of Form 10 registration statements with the US Securities and Exchange Commission, applicable regulatory approvals, and satisfactory completion of… more
- First Horizon Bank (Houston, TX)
- …with trading and operations departments promoting smooth execution and delivery of securities . + Strong ability to multi-task and manage issues arising on a ... of computer applications for services such as market evaluation, portfolio accounting, compliance and prospectuses. + Must have the ability to learn and implement… more
- JPMorgan Chase (Jersey City, NJ)
- …branches. You will guide our business through ever-evolving regulatory landscapes, ensuring compliance and excellence. Elevate your career with us and make a ... of the Investment Advisers Act of 1940 and relevant aspects of the Securities Act. + Ability to advise on regulatory landscape and developments. + Excellent… more
- JPMorgan Chase (New York, NY)
- …conservatively invest the Firm's excess liquidity through a ~$300 billion investment securities portfolio. Treasury's core mandate is to manage the Firm's funding ... collaboration with other functional groups (Middle Office, Risk, Control Management, Legal, Compliance , Tech, and more) as it relates to regulatory and control… more