- JPMorgan Chase (New York, NY)
- …with the firm's prime brokerage services, which include leveraged financing and securities lending. In this client-facing role, you will have the opportunity to ... and alternative trading systems (ATSs), while collaborating closely with the firm's compliance and business control management teams to ensure adherence to control,… more
- HSBC (New York, NY)
- …are applied in all actions and across all responsibilities. Ensure compliance with regulatory requirements and internal policies by collaborating with internal ... pricing and risk management; * Structured Finance, securitization and securities financing; and, * Performing detailed financial analysis and due-diligence… more
- MUFG (Chicago, IL)
- …efficiency and effectiveness. + Assist with duties or inquiries related to compliance matters. Ensure adherence to all bank policies and procedures related to ... regulatory compliance as required. + Perform and coordinate other duties...a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2)… more
- Citigroup (San Antonio, TX)
- …related to investment operations - including margin, options, and placing unsolicited securities trades (Series 7 & 63 required) as required + Ensures customer ... and firm policy + Ensures that KYC/AML and other compliance norms are strictly adhered to + Builds a...and safeguarding Citigroup, its clients, and assets, by driving compliance with applicable laws, rules, and regulations, adhering to… more
- Robert Half Finance & Accounting (Little Rock, AR)
- …to various corporate finance operations, including financial reporting and regulatory compliance . The ideal candidate will bring expertise in accounting processes ... Austen Zemrock directly at ### or through LinkedIn. Responsibilities: * Reconcile securities and cash accounts to maintain financial accuracy. * Prepare and post… 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 ... optimizing management of systems supporting global functions such as Compliance , Controls, Internal Audit and Risk, and introducing innovative technologies… more
- CS Energy (Rochester, NY)
- …and Safety Plans (HASP) and ensures they are implemented. + Ensures site compliance with specified safety and health requirements including federal, state and local ... the Project Supervision enforces the EHS procedures and policies and address non- compliance among all employees, subcontractors and vendors. + Develops site specific… more
- KeyBank (Pepper Pike, OH)
- …Practice Management process, prioritized pro- active client contacts, per service standards. Compliance - Maintains compliance with all internal policies and ... and relationship skills for high net worth business. - Applied knowledge of investments/ securities in support of sales and client servicing. - Completion of Cannon… more
- MUFG (Tempe, AZ)
- …management product features and benefits, and technical developments. + Actively ensure compliance with the Bank's Business Standards of Conduct and all Patriot Act, ... security and suspicious activity reporting requirements, and other regulatory and compliance policies and procedures. Actively participate in any required training… more
- Santander US (New York, NY)
- …+ Prepare detailed Model Development Documentation (MDD) to ensure regulatory compliance . Risk Analytics & Model Development: + Develop, test, and enhance ... plans to align with regulatory expectations. Stakeholder Communication & Regulatory Compliance : + Collaborate with key stakeholders, including trading desks, IT,… more