- American Express (New York, NY)
- …transfer of those assets to securitization trusts. The trusts then issue securities to third-party investors, collateralized by the transferred assets. In addition ... Documentation and Record Retention + Support all Regulatory Reporting, Filing and compliance requirements for the Trusts. Responsible for ensuring adherence to SEC… more
- Commerce Bank (Kansas City, MO)
- …internal reporting for all CFA systems & partnering to support regulatory reporting and compliance + Provide subject matter expertise & serve as a go-to resource to ... and experience required + 3+ years in information systems required + Securities Industry and related fields experience preferred, including basic regulatory … more
- Forward Air (Dallas, TX)
- …accruals, reconciliation, financial reporting, post-close tasks, and ensuring ongoing compliance . They collaborate with accounting leadership and stakeholders from ... and disclosures in accordance with US GAAP to be filed with the Securities and Exchange Commission. Including preparation of workpapers to support the external… more
- US Bank (Boston, MA)
- …administrators, transfer agencies and prime brokers/custodian relationships collaborating on compliance , audit and financials, while ensuring all Fund Accounting ... functions are in compliance with SEC regulations and GAAP principles. Basic Qualifications...including the related components: Corporate Action application to basket securities , Net Investment Income (IOPV) projections, and Basket cash… more
- Mizuho Corporate Bank (New York, NY)
- …the US branches of Mizuho Bank, Ltd., Mizuho Americas Services LLC, Mizuho Securities USA LLC, Mizuho Capital Markets LLC, Mizuho Markets Americas Ltd., and, Mizuho ... Reporting and Follow-up) of assigned audits and other projects in compliance with recognized professional standards and with approved IAD/IADA policies, procedures… more
- Raymond James Financial, Inc. (Denver, CO)
- …units. + May participate in the formation of policies related to compliance . + Performs other duties and responsibilities as assigned. **Knowledge, Skills, and ... Abilities:** **Knowledge of:** + Investments and trading, securities industry regulations, and client suitability (all at a level consistent with the requirement of… more
- TD Bank (Marlton, NJ)
- …all departments within the US Wealth organization, but specifically with Compliance , Legal, Distribution, Product, Risk, Operations, and Technology. **Depth & ... platform systems strongly preferred (ie, Global Relay, FIS Supervision Compliance Manager, Pershing, Envestnet, RegEd, etc.) + Ability to...and is subject to the requirements of FINRA and Securities Laws. May (or may not) be a registered… more
- Gilead Sciences, Inc. (Foster City, CA)
- …actions, anti-trust, commercial disputes, tax, appellate court proceedings, and securities actions. + Investigation experience that ranges from internal ... with internal and external investigations including anti-corruption and healthcare compliance . + Experience with the following is preferred: pharmaceutical… more
- Raymond James Financial, Inc. (Rochester Hills, MI)
- …gain knowledge of day to day operational functions and how to ensure compliance with firm and regulatory policies and procedures. The ideal candidate will have ... of branch procedures.** **Assists Branch Manager with confidential matters and compliance visits and replies.** **Assists Branch Manager with controlling expenses… 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 ... roles, access groups, and SSO integrations for security and compliance . + Support backup, restore, disaster recovery, and high-availability configurations… more