- Raymond James Financial, Inc. (Memphis, TN)
- …to ensure efficient and timely workflow with special regard to service delivery, compliance , and risk factors for the firm. + Ensures appropriate documentation and ... implementation. + Investment concepts, practices, and procedures used in the securities industry. + Market trading practices of products, including equities, ETFs,… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …enable the organization to achieve its business objectives. + Monitors regulatory compliance with internal and external groups including auditors, FINRA, IRS, SEC ... to act in a sponsorship role. + Principles of finance and securities industry operations. + Financial markets and products. + Performance management. **Skills:**… more
- Ferguson Enterprises, LLC. (Humble, TX)
- …concerning the status of customers and receivables. + Adhere to Company compliance and Health Safety and Environment (HSE) policies, procedures, and requirements. ... + Knowledge of credit fundamentals (ex: financial statement analysis, secondary securities , contract/bankruptcy law, etc.). At Ferguson, we care for each other.… more
- PCL Construction (Tempe, AZ)
- …Identifies and communicates with the project team and accounting management any compliance and/or project risks (eg, trade partner issues, financial risk). + ... generally accepted accounting principles. + Intermediate knowledge of bid and contract securities and insurance as they relate to risk management, claims management,… more
- MUFG (Walnut Creek, CA)
- …for the production and submission of multiple regulatory filings in compliance with legal and regulatory requirements, the Bank's policies and procedures, ... 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
- CNO Financial Group (Carmel, IN)
- …within collateralized loan obligation (CLO) structures and $350M in CLO debt securities . The individual will be primarily responsible for ensuring that our ... and quarterly reports are accurate and distributed to investors + Monitoring compliance with indenture requirements and identifying tests at risk of failure +… more
- JPMorgan Chase (Chicago, IL)
- …of the business are functioning + Ensure timely and effective responses to compliance , supervision and audit examinations on a priority basis + Provide approval when ... **Required qualifications, capabilities, and skills** + 10+ years of experience in the securities / investment industry + 5+ years of experience managing a team +… more
- Raymond James Financial, Inc. (Charlotte, NC)
- …for an important area of responsibility within a function, ensuring compliance with external requirements and integration with the broader functional policy ... 63, 65 and/or 66 as required by state. + Ability to obtain additional securities and advisory state registrations if required by state. **Travel Required:** Yes, 25… more
- Truist (Charlotte, NC)
- …or filed with the Truist Board of Directors and Executive Leadership, Securities and Exchange Commission (SEC), Federal Deposit Insurance Corporation (FDIC) and ... W analysis processes including projects/initiatives with potential Regulation W compliance and reporting impacts. Provide training and guidance to subordinates… more
- Raymond James Financial, Inc. (Hackensack, NJ)
- …and occasional personal visits. * Educates client on the functions of various securities markets and the principal factors that affect them. * Provides guidance on ... transactions. * Ensures practice and regulatory policies are followed within compliance standards * Perform other duties and responsibilities as assigned.… more