- DuPont (Joliet, IL)
- …motors, blowers, fans, compressors, etc. All duties must be performed in compliance with established company, department, and safety policies and procedures. This ... and effectiveness of Form 10 registration statements with the US Securities and Exchange Commission, applicable regulatory approvals, and satisfactory completion of… more
- MUFG (New York, NY)
- …matured/maturing loans/credit lines and coordinate appropriate renewal. + Ensure compliance with external regulatory/internal policy and procedural requirements. The ... 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
- Citigroup (New York, NY)
- …including corporate and emerging market bonds, asset-backed and mortgage-backed securities , collateralized loan obligations, short term interest rate products, ... firm's reputation and safeguarding Citi, its clients, and assets, by driving compliance with applicable laws, rules, and regulations, adhering to Citi policy,… more
- Citigroup (New York, NY)
- …including Consumer Banking and Credit, Corporate and Investment Banking, Securities Brokerage, Transaction Services, and Wealth Management. Our core activities ... and excellent oral/written communication skills (Regulatory, Risk, Internal Audit or Compliance background a plus) + Business, Management, or analytical background… more
- MUFG (Irving, TX)
- …Assurance ("QA") within the banking industry, investigative, and/or legal / compliance functions **Education, Licensure, Experience:** * Bachelor's Degree and CAMS ... 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
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …both internal clients and functional area representatives including legal, compliance , supervision, operations, and AML. **Essential Duties and Responsibilities:** + ... FINRA/SEC rules and regulations. + Principles of banking and finance and securities industry operations Skill in: + Conducting negotiations with third parties, with… more
- Guardian Life (Holmdel, NJ)
- …clients' requests. + Collaborate with various internal departments including compliance , licensing, operations, internal clearing firm, and 3rd Party ... Orion. + Experience with Pershing or Fidelity or Schwab custodial systems + Securities license preferred (Series 7 or 6) **Salary Range:** $57,810.00 - $86,715.00… more
- Truist (Charlotte, NC)
- …that impact funding strategies/actions. Work with Liquidity Risk team concerning compliance with new regulations. Ensure internal control procedures are in place ... offering circulars and other SEC documents used for issuance of GBN/MTN securities . **General Description of Available Benefits for Eligible Employees of Truist… more
- Johns Hopkins University (Baltimore, MD)
- …non-gift transactions. + Responsible for specialized transactions including gifts of securities , private grants, and deferred life-income gifts. + Verifies documents ... for completeness and compliance with government agencies (IRS) and Development accounting standards as defined by NACUBO and CASE. + Provides accounting services to… more
- Brightstar Lottery (Providence, RI)
- …team, you'll help ensure the integrity of our corporate governance and compliance processes. Your responsibilities will include: + **Board & Committee Support:** ... + **Policy Enforcement:** Assist in implementing and monitoring the Company's securities trading policy. + **Regulatory Filings:** Support NYSE and SEC filings… more