- BMO Financial Group (Chicago, IL)
- The Enterprise Regulatory Office ("ERO"), within Legal & Regulatory Compliance ("LRC"), supports the BMO enterprise and helps BMO meet both its regulatory ... obligations and its supervisors' expectations. ERO advises with respect to legal and regulatory matters, provides leadership and guidance with respect to regulatory… more
- First Horizon Bank (Tampa, FL)
- …efforts of the team. + Stays updated and abreast of changing economic, legal , financial planning, investment trends and general market and business issues impacting ... resource for clients, their attorneys and CPAs. + Maintain appropriate legal , operating and regulatory controls to manage risk and compliance. Works… more
- MUFG (New York, NY)
- …with other key stake holders to include senior leadership, Internal Audit, Legal , businesses and functions, regulators and other key partners and stakeholders. ... degree; MBA or Master 's degree in business, accounting, legal or related fields is preferred. + 12 years...a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2)… more
- MUFG (Los Angeles, CA)
- …details as it relates to overall ABL credit exposure. + High level legal and negotiation skills. + Excellent verbal and written communication skills. + Ability ... and collaboratively with coverage teams, credit officers, sponsor coverage, product partners, legal , etc. + Financial modeling and analytical skills using MS Word,… more
- Citigroup (New York, NY)
- …positioning and closing transactions with various internal stakeholders (structuring, trading, legal , credit and risk etc.) + Forge a relationship with salespeople ... Work in close partnership with control functions such as Legal , Compliance, Market and Credit Risk, Audit, Finance in...and the Plan of Supervision for Global Markets and Securities Services + Adhere to all policies and procedures… more
- Guardian Life (Tallahassee, FL)
- …drive sales. + Work closely with Guardian's broker dealer (Park Avenue Securities ) to drive revenue through PAS's multifaceted product platform. + Educate producers, ... to prospects and clients and educate a client's professional tax and legal advisors on concepts and techniques unfamiliar to them. + Demonstrate superior… more
- Fifth Third Bank, NA (Cincinnati, OH)
- …guidance, and best practices deemed necessary by key stakeholders (such as Legal , Compliance, Enterprise Risk and Audit partners). Supports Business Controls in ... 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
- Edward Jones (St. Louis, MO)
- …red team assessments are properly documented/tracked to meet team, audit, and legal requirements + Track against KPIs, KRIs, and benchmarks through data analytics ... partners within security and across the Firm (including Technology, Privacy, Legal , Third-Party Risk Management, Crisis Management, and Enterprise Risk Management)… more
- Wellington (Boston, MA)
- …other internal and external professionals, including those within the Product team, Legal & Compliance, Fund Services, and Tax, in researching internal information ... and file necessary documents with regulatory bodies such as the US Securities and Exchange Commission. 2. Company Administration: * Keep corporate information and… more
- MUFG (New York, NY)
- …models, financial statements, customer financial information, project contracts, and legal analyses + Review information about project assets, development plans, ... compliance and execution, including KYC, profitability analysis, committee approvals, legal due diligence, and closing checklists **Requirements:** + A Bachelor's… more