- GE Vernova (New York, NY)
- …and management. + Broker-Dealer Compliance : Coordinate and execute compliance obligations for regulated securities transactions arranged through a ... **Job Description Summary** GE Vernova's Ethics & Compliance Team is seeking an experienced regulatory ...compliance obligations for investment advisers registered with the Securities & Exchange Commission (SEC). + Demonstrated understanding of… more
- PNC (Louisville, KY)
- …complex legal and financial requirements. Ideal candidates bring some experience in securities law, governance requirements and corporate compliance , along with ... have an opportunity to contribute to the company's success. As a(n) Compliance Program Specialist Senior within PNC's Regulatory Compliance Governance… more
- Robert Half Finance & Accounting (Houston, TX)
- …to lead and oversee the preparation and submission of financial statements in compliance with Securities and Exchange Commission (SEC) regulations. This role ... statement of equity, cash flows, and earnings per unit. + Ensure compliance with SOX financial reporting controls. + Prepare technical accounting memorandums for… more
- CIBC (New York, NY)
- …You Are** + Bachelor's degree + Minimum 5+ years' experience in handling securities and OTC derivative/swap compliance issues gained at an investment dealer, ... detecting when violations do occur. Regulatory Supervision is a business role (not Compliance ) and is delegated the responsibility to supervise on behalf of Global… more
- EquipmentShare (Dallas, TX)
- …and Legal to support quarterly and annual reporting filing requirements. + Ensure compliance with securities laws, tax regulations, and Company policies. + ... closely with Legal, Accounting, Human Resources, and external vendors to ensure compliance , accuracy, and a positive employee experience. This position is fully… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …**Knowledge of:** Financial advisor business models and practice structures. Securities industry regulations and compliance standards. Recruitment and ... improvement. Collaborate with cross-functional teams (eg, Transition Services, Marketing, Compliance ) to ensure a seamless advisor onboarding experience. Expand the… 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
- Cardinal Health (Dublin, OH)
- …legal and corporate development on wide range of topics. + Ensures enterprise compliance with Securities and Exchange Commission (SEC) and Public Company ... Accounting Oversight Board (PCAOB) requirements. **_Qualifications_** + 15+ years' experience in related field preferred + 5+ years of public accounting experience preferred + Bachelors or Advanced degree in accounting preferred + Proficiency in identifying… more
- Guardian Life (New York, NY)
- …want to be part of a collaborative Compliance Legal Team? The Compliance Analyst, Park Avenue Securities (PAS), and Park Avenue Investment Advisory (PAA), ... Department. We drive a high-performance culture across our Legal, Compliance , and Government Affairs functions, aligned to "what" we...works as part of the Compliance team to ensure that various compliance … more
- Zions Bancorporation (Salt Lake City, UT)
- …a related field. + 2 + years' experience in financial services, finance, compliance , risk management, auditing, securities industry, or other related experience. ... talent; we bring the opportunity. **We are currently seeking a** **Risk and Compliance Testing Officer** **within the Market, Liquidity, Wealth Risk & Compliance … more