- Raymond James Financial, Inc. (Memphis, TN)
- …Skills, and Abilities** **Knowledge of:** + Concepts, practices, and procedures of securities industry and/or banking compliance reviews. + Rules and regulations ... **Essential Duties and Responsibilities** + Collaborate across Compliance teams to maintain a risk-based Compliance Testing program in accordance with testing… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …+ Data privacy laws and regulations. + Concepts, practices, and procedures of securities industry and/or banking compliance reviews. + Rules and regulations of ... and industry best practices. + Coaches and mentors less experienced Compliance associates. + Directs adjustments to existing programs, policies and procedures,… more
- Zions Bancorporation (Salt Lake City, UT)
- …or a related field + 8+ experience in financial services regulatory compliance , securities industry, investment management, investment banking, auditing or other ... talent; we bring the opportunity. **We are currently seeking a** **Risk and Compliance Manager** **within the Market, Liquidity, Wealth Risk & Compliance Team.**… more
- Raymond James Financial, Inc. (Denver, CO)
- …with an emphasis on privacy and data protection + Knowledge of the securities industry and/or banking compliance . + Privacy/Governance Risk and Compliance ... Collaborates with business and technology partners to identify and address privacy-related compliance gaps or areas of privacy risk. + Translates and writes privacy… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …and Abilities** **Advanced Knowledge of:** + Concepts, practices, and procedures of securities industry and/or banking compliance reviews. + Rules and ... Design and implement workflows and processes derived from data provided by compliance teams to support enterprise-wide objectives. + Develop and maintain project… more
- Raymond James Financial, Inc. (Denver, CO)
- …and Abilities** **Advanced Knowledge of:** + Concepts, practices, and procedures of securities industry and/or banking compliance . + Rules and regulations of: ... assess privacy-related risk with business partners to identify and address privacy-related compliance gaps or areas of privacy risk in support of business… more
- Convey Health Solutions (Fort Lauderdale, FL)
- …technology space. Primary responsibilities involve managing corporate governance and securities compliance , overseeing external counsel, and drafting, reviewing, ... and solutions to address risk + Create processes for and manage compliance with securities rules and regulations + Provide support for M&A transactions Education… more
- Trexquant Investment (Stamford, CT)
- …as needed. + Help develop and maintain internal policies and procedures related to securities law compliance . Requirements + JD from an accredited law school and ... of nuanced topics in the financial market space + Support the company's compliance with SEC regulatory requirements and industry best practices by working closely… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …and Abilities** **Advanced knowledge of:** + Concepts, practices, and procedures of securities industry and/or banking compliance . + Rules and regulations of: ... **Essential Duties and Responsibilities** + Helps drive Compliance strategic direction toward Information Technology, Information Security, Data governance,… more
- ManpowerGroup (Jersey City, NJ)
- …**What's Needed?** + College degree in a relevant field. + Knowledge of the securities industry and compliance regulations. + Experience in data gathering and ... join their team. As a Surveillance Analyst, you will be part of the compliance department supporting a dedicated team in Minneapolis. The ideal candidate will have… more