- Janus Henderson Investors (Denver, CO)
- …Henderson Investors' compliance program + Research and stay abreast of relevant legal , regulatory, business and market developments + Support or complete compliance ... + Provide support, advice and challenge to business partners on legal and regulatory matters while maintaining cooperative and productive relationships that… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …firm-to-client communications and internal change management campaigns, partnering with legal , compliance, technology, operations and other key business areas to ... and related content + Investment concepts, practices and procedures used in the securities industry + Financial markets and products + Microsoft Outlook suite +… more
- Robert Half Legal (Philadelphia, PA)
- …closing documents Manage and coordinate closings for new issues of debt securities and other finance transactions Conduct and track due diligence, including title, ... placement solutions for finance and accounting, technology, marketing and creative, legal , and administrative and customer support roles. Robert Half works to… more
- Executive Office for US Attorneys and the Office of the US… (Missoula, MT)
- …crime, child exploitation/child pornography, human trafficking, organized crime, complex securities and fraud cases, health care fraud, and public corruption. ... or transcripts are highly encouraged. One (1) full year of postgraduate legal experience, or other relevant experience, is required. United States citizenship is… more
- Fifth Third Bank, NA (Cincinnati, OH)
- …and best practices deemed necessary by key stakeholders (such as Legal , Information Security, Compliance, Enterprise Risk and Audit partners). Supports Business ... the second and third lines of defense (such as Legal , Compliance, Enterprise Risk, and Audit). + Collaborates with...Series 7 and 63/66 licenses preferred. Knowledge of the Securities industry and SEC / FINRA regulations is preferred.… more
- Citigroup (Houston, TX)
- …is possible. Attention to detail is critical, especially in understanding complex legal documents. **Responsibilities** + Hold a key role in pricing, developing, and ... Work in close partnership with control functions such as Legal , Compliance, Market and Credit Risk, Audit, and Finance...and the Plan of Supervision for Global Markets and Securities Services; ensure all team members understand the need… more
- BMO Financial Group (Denver, CO)
- …in the market. + Adheres to all policies and procedures, guidelines, legal and ethical requirements and regulations including individual accountability as it relates ... conflicts of interest, safeguarding of customer information, trading in securities , anti-money laundering, privacy, and disclosure of outside business activities.… more
- Janus Henderson Investors (Denver, CO)
- …as Information Technology, Compliance, Finance, People, Operations, Data Privacy, and Legal , to understand procurement needs, firm objectives and risk tolerances, ... international procurement and negotiation. + Familiarity with contract law and legal aspects of procurement. Supervisory responsibilities + Yes Potential for growth… more
- Washington County (Stillwater, MN)
- …and best practices to improve financial management. + Ensure regulatory and legal compliance. + Collaborate with department staff to develop strategies to meet ... and contribute to planning and execution of bond financing and securities ratings. + Ensure compliance with generally accepted accounting principles, regulatory… more
- MUFG (New York, NY)
- …collateral tracking responsibilities. **Pre-Closing Responsibilities:** + Review and interpret legal documents and key terms (pricing, maturities, fees) to ensure ... confirm intake forms are completed. + Coordinate with MUFG Legal for signoff on new deals and execution of...a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2)… more