- Citigroup (Getzville, NY)
- …of owing more complex client / process issues through to resolution + Ensure compliance while applying critical thinking to all controls and procedures in place in ... **Job Family Group:** Operations - Transaction Services **Job Family:** Securities and Derivatives Processing **Time Type:** Full time **Primary Location:**… 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
- KeyBank (Brooklyn, OH)
- …- Business Administration preferred *A minimum of 5 years' experience in securities supervision/ compliance activity within a brokerage or bank-based brokerage ... complaints received for the territories he/she supports, and work with KIS Compliance , KIS registered representatives and Sales Leaders in a collaborative nature to… more
- 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
- IQVIA (Durham, NC)
- …(ie, Broadridge, Equiniti, Workiva) and logistics for Annual Shareholders' Meeting. ** Securities Law Compliance ** + Handle technical preparation, formatting and ... projects for sustainability rating agency data + Support coordination of compliance with various sustainability disclosure frameworks **General Corporate** + Manage… 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
- Chemours (Wilmington, DE)
- …position is an attorney within the Office of the Corporate Secretary ensuring compliance with securities laws, related corporate governance issues, advising on ... DE** and report directly to the **Chief Corporate Governance and Securities Counsel, Assistant Corporate Secretary.** This position will be responsible for… more
- Comerica (Dallas, TX)
- …+ Assists with matters involving general corporate law, corporate governance, and securities reporting/ compliance . + Manages legal work related to private ... placements and warrants. + Advises senior bank officers of the legal implications of proposed transactions, policies, courses of action and management decisions. + Analyzes complex legal issues involved in various transactions and other matters of significance… 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
- Raymond James Financial, Inc. (CT)
- …supervision, the AML Analyst applies specialized knowledge and skills in securities and/or banking industry compliance , gained through experience, specialized ... SAR writing/narrative skills including justification for suspicion. + Knowledge of securities industry and/or banking compliance practices. + Familiarity with… more
Recent Jobs
-
Associate Director, Space Payloads Capture Management
- RTX Corporation (El Segundo, CA)
-
Senior Product Designer, UI Design & Design Systems, CoStar Product
- CoStar Realty Information, Inc. (Richmond, VA)
-
Lead Cybersecurity Threat Intelligence Analyst
- ManTech (Doral, FL)
-
Tenant Coordinator
- HANAC, Inc. (Corona, NY)