- JPMorgan Chase & Co. (New York, NY)
- …Collaborate with US and global support areas, including Product Controllers, Compliance , Legal, Tax, Audit, Events, Marketing, Expense Management, Risk, Conflicts, ... & Investment Bank is a global leader across banking, markets, securities services and payments. Corporations, governments and institutions throughout the world… more
- BOK Financial (Bonner Springs, KS)
- …Deadline: 08/08/2025 BOK Financial Corporation Group includes BOKF, NA; BOK Financial Securities , Inc. and BOK Financial Private Wealth, Inc. BOKF, NA operates ... as analyze and evaluate fees and profitability of accounts. You will ensure compliance of all applicable laws and regulations so clients are operating within Bank… more
- Goldman Sachs, Inc. (Dallas, TX)
- …(CCAR) processes. The regulatory reporting team is responsible for the compliance and submission of regulatory filings to supervisory bodies worldwide, including ... to grow. Founded in 1869, we are a leading global investment banking, securities and investment management firm. Headquartered in New York, we maintain offices… more
- Goldman Sachs, Inc. (Dallas, TX)
- …controls by assessing the reliability of financial reports, monitoring the firm's compliance with laws and regulations, and advising management on developing smart ... auditors to cover all the firm's businesses and functions, including securities , investment banking, consumer and investment management, risk management, finance,… more
- ApTask (South Jordan, UT)
- …financial services firm that provides a wide range of investment banking, securities , wealth management, and investment management services. It is a prominent global ... the Firms Wealth Management and Institutional clients, and is responsible for ensuring compliance with the IRS regulations. The team is primarily located in Utah… more
- Capital One (New York, NY)
- Principal Auditor (Experienced Senior Auditor), Corporate Compliance & Securities / Transactions Audits (Hybrid) Capital One's Audit function is a dedicated ... of the Audit team, the candidate will focus on operational and compliance audits, including operations of investment ( securities and transactions).… more
- Citigroup (Tampa, FL)
- …a senior compliance and operational risk manager for Global Wealth Securities Backed Lending (SBL) Independent Compliance Risk Management (ICRM) and Global ... for Global Wealth Deposits and Lending businesses. **Responsibilities:** + Provide compliance product coverage to Global Wealth SBL business. Provide compliance… more
- TD Bank (New York, NY)
- …and maintains best-in-class programs, policies and practices globally for Investment Banking Compliance within TD Securities (USA) LLC. + Ensure comprehensive ... New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $225,000 - $250,000 USD TD is committed to providing fair… more
- Shoals Technology Group (Portland, TN)
- …work closely with our executive leadership and cross-functional teams to ensure compliance with securities laws and regulations Responsibilities: Provide legal ... guidance and support on securities law compliance , including reporting and disclosure obligations under federal securities laws. Collaborate with our finance… more
- Eaton Corporation (Beachwood, OH)
- …releases, investor presentations, marketing materials, and the Company's website. * Advise on securities law, compliance with SEC and NYSE rules and regulations, ... Eaton's legal organization is hiring a Counsel, Securities and Governance in Beachwood, Ohio at the US Headquarters. **What you'll do:** The Counsel, Securities … more
