- Raymond James Financial, Inc. (Locust Valley, NY)
- …of** * Company's working structure, policies, mission, strategies and compliance guidelines. * Advanced investment concepts, practices and procedures used ... in the securities industry. * Client relations management tools. * Financial services news and data resource tools. * Investment management analytical tools. *… more
- MUFG (Tampa, FL)
- …+ Ensures adherence to all bank policies and procedures relative to Regulatory Compliance including but not limited to the Bank Secrecy Act, USA Patriot Act, ... is not subject to a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2) or 8a(3) of the Commodity… more
- Lilly (Indianapolis, IN)
- …Schedule), fraud and abuse laws (eg, AKS, False Claims Act), antitrust, securities , product liability, or complex commercial claims + Experience with government ... agencies + Experience providing legal support to corporate risk functions (Ethics & Compliance , Internal Audit, and Risk Management) at or for a global company in a… 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 ... firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying… 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 ... firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying… 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 ... firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying… more
- JPMorgan Chase (Los Angeles, CA)
- …+ Provide end-to-end leadership by partnering cross-functionally with banking, risk, compliance , legal, marketing, etc; in addition to other lines of business ... Los Angeles region + Ability to mobilize internal networks and resources + FINRA securities licenses 79, 63 and 24 required for the role + Management experience in… more
- CS Energy (Syracuse, NY)
- …and maintain project schedule to meet all EPC milestones. + Ensure the compliance with all project permitting and regulatory requirements such as SWPPP, local ... MWh of energy storage projects across the United States. Owned by American Securities , a leading US private equity firm, CS Energy leverages strong relationships… 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 ... firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying… more
- Citigroup (Boston, MA)
- …firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying ... areas. + US Only: S7, S66 (or 63 & 65) & S31; NOTE: Securities Industry Exam (SIE is a prerequisite to the S7) **Education:** + Bachelor's/University degree,… more