- Manulife (Boston, MA)
- …trade processing and reconciliation, risk oversight, vendor management, tax compliance , securities lending, financial reporting, client onboarding, shareholder ... record-keeping, data management, and dashboard creation, depending on the team's needs. **Required Qualifications:** + Pursuing a degree in Business Administration or a related field, with an expected graduation in Spring 2026 from an accredited university. +… more
- 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
- Robert Half Finance & Accounting (Boston, MA)
- …meet the following qualifications: 7-10 years of experience in financial services compliance , particularly with equity securities at an asset management firm. ... Asset Management firm in Boston looking to add a Compliance Manager to the team. As a Compliance...Expertise in securities regulations ( Securities Acts of 1933 and 1934; Investment Advisers/Company Act… 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
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …Skills** **Basic** **k** **nowledge of** **:** + Concepts, practices, and procedures of securities industry and/or banking compliance reviews. + AML laws and ... Professional office environment best practices + Concepts related to finance, compliance , and investigations **Skill** **ed** **in** **:** + Conducting in-depth… more
- Thrivent Financial (OH)
- …and will review product messaging and sales tools as needed to ensure compliance with securities laws and regulations. This responsibility will generally not ... identify innovative product development opportunities. + Adhere to all compliance guidelines including use of pre-approved marketing materials, prospectus… more
- Jackson National Life Insurance Company (Lansing, MI)
- …**2+ years of relevant professional experience (insurance, financial services, compliance , legal, etc.) required.** ** Securities Industry Essentials (SIE) ... please login to Workday and apply through Jobs Hub._** **Job Purpose** **The Compliance Analyst is responsible for the monitoring of policies and procedures to… 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
- KeyBank (Brooklyn, OH)
- …management products and services (eg - trust/fiduciary, private banking, securities /investment management, capital markets), compliance , operations, and risk ... Brooklyn, Ohio 44144-2302 **Job Description** As part of Key's second-line-of-defense Compliance Risk Management function, the Risk Evaluation and Assurance Program… more
- SMBC (New York, NY)
- …offers a competitive portfolio of benefits to its employees. **Role Description** The Compliance group within SMBC Nikko Securities Inc. serves as a regulatory ... coverage. Reports to a senior member of Private Side Compliance Advisory for SMBC Nikko Securities Inc. **Role Objectives** + Assists in providing regulatory and… more