- 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
- US Bank (Minneapolis, MN)
- …registered investment adviser requirements, including SEC and FINRA regulations and state securities laws. - Advise business lines, compliance , and other ... on federal and state statutes and regulations, focused on securities laws and the activities of broker-dealers and registered...regulatory changes for use by internal partners, such as compliance and business lines, and providing legal advice and… 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
- Charles Schwab (Westlake, TX)
- …responsible for supporting the execution of key components of the Employee Compliance Program including Schwab securities trading, Schwab Investment Advisers ... "challenge the status quo" and transform the finance industry together. In Compliance , we help our business partners achieve their strategic priorities by promoting… 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