- State of Montana (Helena, MT)
- *Why Work with Us?* The Montana State Auditor, Commissioner of Securities and Insurance (CSI), has an exciting opportunity for an Insurance Policy Compliance ... Montanans by regulating two of the state's largest industries, securities and insurance. Our mission is to foster a...Property and Casualty insurance. * *Or experience within the legal industry* reviewing regulations, contracts, and other legal… more
- TD Bank (New York, NY)
- …FCRM Compliance Officer-CIB **Reports to:** Director, Financial Crime Risk Oversight, TD Securities , US **Position Summary** The US FCRM TDS Business Oversight team ... supports TD Securities in developing, implementing, and maintaining a robust financial...guidance on regulatory compliance, close partnership with business and legal , and operationalizing requirements and regulations for the Wholesale… more
- Dentons US LLP (Salt Lake City, UT)
- …8 years of solid sophisticated experience in the areas of corporate, securities , financing, governance, M&A, and general business transactions. The person hired for ... transaction due diligence processes, closings and checklists + Federal and state securities laws and filings + Helping build client relationships + Practice with… more
- Dentons US LLP (Salt Lake City, UT)
- …4-7 years of sophisticated experience in the areas of corporate, securities , financing, governance, M&A, and general business transactions. Candidates should have ... Managing transaction due diligence processes, closings and checklists + Federal and state securities laws and filings + Helping build client relationships This is a… more
- Dentons US LLP (Salt Lake City, UT)
- …2-3 years of sophisticated experience in the areas of corporate, securities , financing, governance, M&A and general business transactions. Candidates should have ... Managing transaction due diligence processes, closings and checklists + Federal and state securities laws and filings + Helping build client relationships This is a… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …the AML Analyst applies specialized knowledge and skills in securities and/or banking industry compliance, gained through experience, specialized training ... investigations, or matters escalated by various business lines including Compliance, Legal , Risk or other Firm divisions. + Review client background information,… more
- Chenega Corporation (Washington, DC)
- …The **Fraud Analyst III Senior OMI** actively supports the United States Securities and Exchange Commission Division of Enforcement's Office of Market Intelligence ... Review. + Make recommendations regarding tips that are not securities matters. + Conduct quality reviews of work products...factually sound manner; completed templates will be used by legal and account staff to analyze the tip. +… more
- The Brattle Group (San Francisco, CA)
- …in financial economics, corporate finance, energy, competition, and regulatory economics. ** Securities Intern Role** As a Research Analyst intern at The Brattle ... our experts present complex economic and financial concepts clearly in legal and regulatory contexts. + Collaborating with Team Members: Effective communication… more
- JPMorgan Chase (San Francisco, CA)
- …lending sales team, you will leverage your deep expertise in margin, securities -based lending, custom lending, and mortgages to enhance client experiences and ... the lending sales team. + Partner with key stakeholders (eg, Finance, Legal , Risk, Compliance, Product, Credit) to deliver tailored solutions and drive high-impact… more
- Edward Jones (Tempe, AZ)
- …with the branch team and their clients, with an understanding of legal and regulatory requirements related to providing financial solutions. + Collaborate with ... Section 3(a)(39) and 15(b)(4) and Rule 17a-3(a)(12) of the Securities and Exchange Act of 1934, and conducts background...time of application** + At least 3-5 years of securities industry experience as a Financial Advisor or equivalent… more