- Robert Half Finance & Accounting (Bellevue, WA)
- …ownership of preparing and analyzing investment-related financial data, ensuring compliance with both organizational and statutory reporting standards. This position ... opportunity to work with a diverse investment portfolio, including fixed income securities , public equities, and other Schedule D assets, while contributing to the… more
- Basin Electric Power Cooperative (Bismarck, ND)
- …testing, investment reporting, cash flow forecasting, and check processing. Ensure compliance with internal investment guidelines and provide backup to the Financial ... documentation, and ensure accurate general ledger entries. + Maintain a security compliance database to ensure the various investment portfolios comply with the… more
- Citigroup (Tampa, FL)
- …services, including consumer banking and credit, corporate and investment banking, securities brokerage, transaction services, and wealth management. As a bank with ... controls. Analyze the information to identify information security weaknesses or non- compliance with Citi standards. + Produce detailed documentation of assessments… more
- Cardinal Health (Oklahoma City, OK)
- …image. This function provides legal counsel related to commercial, corporate securities , intellectual property, labor and employment, and regulatory law, among other ... and its businesses; demonstrate business acumen. * Identify legal and compliance issues and risks, and escalate appropriately, exercising sound judgment about… more
- Citigroup (Irving, TX)
- …services, including consumer banking and credit, corporate and investment banking, securities brokerage, transaction services, and wealth management. As a bank with ... plans for testing changes to system enhancements that impact governance and compliance + Document business requirements related to system enhancements and submit for… more
- First Horizon Bank (Lafayette, LA)
- …Maintain appropriate legal, operating and regulatory controls to manage risk and compliance . Works within the existing audit, compliance and regulatory framework ... + FINRA: Maintains proper licenses including Series 7, Series 66, the Securities Industry Essentials (SIE) Exam as applicable Life, Health, and Variable insurance… more
- MUFG (New York, NY)
- …validation activities (may occur outside of business hours). + Actively ensures compliance with the Bank's Business Standards of Conduct and all Patriot Act, ... and suspicious activity reporting requirements, and other regulatory and compliance policies and procedures. Successfully completes all requisite corporate and… more
- ADM (Chicago, IL)
- …Chief Labor & Employee Counsel - Chicago, IL **Department/Function:** Legal, Compliance , Regulatory Affairs, Corporate Security **Job Description:** **Chief Labor & ... (L&E) Counsel, Archer Daniels Midland Co. (ADM)** Reports to: VP, Corporate, Securities and M&A, ADM Location: Chicago, IL or Erlanger, KY **Position Summary:**… more
- JPMorgan Chase (Sarasota, FL)
- …within established risk parameters/tolerances and meet internal/external risk and compliance obligations, including completion of required training. + High school ... degree, GED, or foreign equivalent. + The Securities Industry Essential (SIE) exam, FINRA Series 6, state...continued employment in this position would be contingent upon compliance with Truth in Lending Act/Dodd Frank Loan Originator… more
- TD Bank (Mount Laurel, NJ)
- …responsibilities. This role will also lead first-line engagement and activities with Compliance and Legal with respect to Office of Supervisory Jurisdiction (OSJ) ... + Ensures that business / department operations are in compliance with applicable internal and external requirements (eg financial...and is subject to the requirements of FINRA and Securities Laws. May (or may not) be a registered… more