- Holcim US (Chicago, IL)
- …are key components of this role. **WHAT YOU'LL ACCOMPLISH** + Ensure compliance with Securities Exchange Commission (SEC) regulations, Sarbanes-Oxley (SOX) Act, ... is part of the North America Internal Audit team, to ensure compliance with Sarbanes-Oxley (SOX) requirements, identify and mitigate risks, strengthen internal… more
- Holcim US (Chicago, IL)
- …and processes to address risks and enhance organizational value + Ensure compliance with Securities Exchange Commission (SEC) regulations, Sarbanes-Oxley (SOX) ... is part of the North America Internal Audit team, to ensure compliance with Sarbanes-Oxley (SOX) requirements, identify and mitigate risks, strengthen internal… more
- Robert Half Finance & Accounting (Chicago, IL)
- …are key components of this role. WHAT YOU'LL ACCOMPLISH + Ensure compliance with Securities Exchange Commission (SEC) regulations, Sarbanes-Oxley (SOX) Act, ... is part of the North America Internal Audit team, to ensure compliance with Sarbanes-Oxley (SOX) requirements, identify and mitigate risks, strengthen internal… more
- SpaceX (Hawthorne, CA)
- …filings for a rapidly expanding corporate portfolio + Complete filings in connection with compliance with securities laws, including Blue Sky + Assist with KYC ... shareholder notices and quarterly company disclosures to relevant equity holders in compliance with Texas corporation law and SEC rules + Support Finance team… more
- SpaceX (Washington, DC)
- …filings for a rapidly expanding corporate portfolio + Complete filings in connection with compliance with securities laws, including Blue Sky + Assist with KYC ... shareholder notices and quarterly company disclosures to relevant equity holders in compliance with Texas corporation law and SEC rules + Support Finance team… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …office practices, procedures, and methods * Concepts, practices and procedures of securities industry, including suitability and other compliance issues involved ... to ensure fulfillment of contractual obligations; and to adhere to securities industry regulations and core fiduciary principles. Works independently on difficult… more
- Equitable (Milwaukee, WI)
- …ability to apply knowledge of risk management appropriately to diverse situations. ** Securities Laws and Regulations (SLR) Compliance :** Knowledge of ... that will help unlock your potential? **Key Job Responsibilities** Provide Branch compliance supervision, including but not limited to: + Responsible for ensuring… more
- Univision Communications, Inc (Miami, FL)
- …Oversee legal aspects of subsidiary governance, including entity management, regulatory compliance , and reporting. + Securities & Public Disclosures: Advise ... M&A, refinancing, and procurement. The successful candidate will ensure compliance with regulatory requirements, manage complex transactions, and provide expert… more
- JPMorgan Chase (Jersey City, NJ)
- …and skills: + Prior financial services experience in Trade Surveillance or other Compliance function + FINRA General Securities licenses such as Series 7, ... As part of Risk Management and Compliance , you are at the center of keeping...customers and communities. Our culture in Risk Management and Compliance is all about thinking outside the box, challenging… more
- Raymond James Financial, Inc. (CO)
- …apply securities and/or banking regulations and identify and recommend compliance changes as appropriate. + Work under pressure on multiple tasks concurrently ... uses extensive knowledge and skills obtained through education and experience in securities and/or the banking industry to support the firm's overall efforts to… more