- 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
- 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
- TD Bank (New York, NY)
- …you will play a crucial role in the next phases of the Securities -Based Lending platform evolution. You will be primarily responsible for partnering with business ... patterns, APIs, ETL and other related technology. + Experience managing regulatory compliance programs. + In-depth knowledge of JIRA and Confluence and experience… more
- Citigroup (Getzville, NY)
- …firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying ... **Job Family Group:** Operations - Transaction Services **Job Family:** Securities and Derivatives Processing **Time Type:** Full time **Primary Location:**… 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
- Citigroup (Getzville, NY)
- …firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying ... **Job Family Group:** Operations - Transaction Services **Job Family:** Securities and Derivatives Processing **Time Type:** Full time **Primary Location:**… 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
- Robert Half Legal (Cincinnati, OH)
- …mergers and acquisitions, private fund formation, and investment-related issues. * Ensure compliance with securities laws and oversee regulatory filings with ... role requires expertise in corporate law and investment-related legal matters, including securities law and private fund formation. The position offers an exciting… more
- Raymond James Financial, Inc. (New York, NY)
- …Abilities** **Advanced knowledge of:** + Concepts, practices, and procedures of the securities industry, broker/dealer compliance and/or branch exams + Rules and ... all exam findings to branch management, exam managers and compliance leadership + Provide reporting of exam findings and...regulations of the SEC, FINRA, and state securities regulatory agencies + Fundamental investment concepts, practices, and… more
- Truist (New York, NY)
- …and regulatory knowledge with an emphasis on: Credit, Market, Liquidity, Compliance , Operational, Reputation and Strategic Risks. 6. Strong leadership and ... risk and regulatory knowledge with an emphasis on Non-Financial Risks. ( Compliance , Operational, Reputational, Strategic Risks) + Knowledgeable of Credit, Market and… more