- BMO Financial Group (New York, NY)
- The BMO Capital Markets Compliance team is hiring for a CCO of it's two US broker-dealer entities in New York, BMO Capital Markets Corp (BMOCMC) and Clearpool ... would manage the implementation, maintenance and administration of the broker-dealer compliance programs. Broker-dealer businesses include. but are not limited to,… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …skills obtained through education, experience and/or certification in banking industry regulatory compliance to ensure first line compliance with banking rules ... and regulations within Corporate Banking. Manages Corporate Banking compliance functions/programs to ensure compliance processes and procedures are integrated… more
- Wolters Kluwer (Waltham, MA)
- …in healthcare, legal, business, tax, accounting, finance, audit, risk and compliance rely on Wolters Kluwer's market-leading information-enabled tools and software ... product capabilities. This role supports our **Financial & Corporate Compliance division** , which provides financial institutions, corporations, small businesses,… more
- DuPont (Circleville, OH)
- …to air pollution control, water and waste infrastructure, associated regulatory compliance programs, and emissions. + Prepare permit applications including renewals ... state and federal environmental regulations then develop and implement environmental compliance programs, inspections, and guidance documents to ensure site … more
- Wells Fargo (Charlotte, NC)
- …+ Deliver solid understanding of the function, policies, procedures, and compliance requirements + Collaborate and consult with peers, colleagues, and managers ... check. Internal transfers are subject to comply with 17 CRF 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states… more
- Cardinal Health (Harrisburg, PA)
- …image. This function provides legal counsel related to commercial, corporate securities , intellectual property, labor and employment, and regulatory law, among other ... (GPOs, IDNs, hospitals, physician offices, etc.), strategic sourcing, marketing, regulatory/ compliance and contract manufacturing. **_Responsibilities_** + Demonstrate strong business… more
- Citigroup (Jersey City, NJ)
- Serves as a compliance risk officer for the Independent Compliance Risk Management (ICRM)'s Control Room team. The ICRM Global Surveillance platform encompasses ... Banking Advisory and Capital Markets) as well as Legal and Compliance colleagues regarding Information Barriers, Wall Crossing Procedures, Sensitive Information and… more
- Wells Fargo (Charlotte, NC)
- …training as scheduled + Assist with deal closing including regulatory and compliance requirements Ideal Candidate for this role: + Outstanding problem solving and ... check. Internal transfers are subject to comply with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states… more
- Commonwealth of Pennsylvania (PA)
- …Revenue Tax Auditor. If conducting field audits of taxpayers to determine compliance with applicable laws and regulations sounds interesting to you, we encourage ... you to apply today. Join our team in ensuring fair and accurate tax compliance within Pennsylvania. DESCRIPTION OF WORK A Revenue Tax Auditor conducts fair and… more
- TD Bank (Vienna, VA)
- …and business partners in the first line. A strong understanding of compliance and sanctions regulations is essential, while knowledge of capital markets products, ... and leads 2nd-line oversight activities and monitoring of the AML/ATF/Sanctions/ABAC compliance programs for covered TD businesses and legal entities, including… more