- Burns & McDonnell (Kansas City, MO)
- …project risk reviews with the Project Management team and consult with the Legal Department as required. + Coordinate and assist in the development and ... the project, client contractor, and/or subcontractor's insurance, licensures, taxes/duties, and securities are in effect according to the project requirements. +… more
- Charles Schwab (Los Angeles, CA)
- …of applicable rules, regulations, policies, and procedures, and seek compliance or legal guidance when necessary. + Implement and carry out Charles Schwab & ... & Co. Inc. compliance manual, business unit specific policies/procedures, federal/state securities laws/regulations and applicable rules of FINRA, NASD, MSRB, CBOE,… more
- Edward Jones (Tempe, AZ)
- …matter experts to deliver a personalized holistic financial plan with tax and legal advice (via external relationships). **What You Will Do:** + Partner with ... as set forth in 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 reviews consistent with FINRA… more
- MUFG (Tampa, FL)
- …to FINRA, SEC, and GDPR standards. + Work closely with cybersecurity and legal teams to ensure data protection and auditability. Model Operations + Fine-tune LLMs ... 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
- State of Connecticut, Department of Administrative Services (New Britain, CT)
- …of proposed security issuances by Connecticut utilities in light of current securities markets and appropriate utility capital structures; + Write summaries of ... conducting quantitative analysis; + Experience interpreting technical, financial, or legal documents and communicating information to non-technical stakeholders; +… more
- Edward Jones (Tempe, AZ)
- …as set forth in 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 reviews consistent with FINRA ... returns, gift/estate tax returns, personal financial statement, and other legal documents ie shareholder agreements, business agreements, executive compensation… more
- MUFG (Tampa, FL)
- …compliance reporting. Stakeholder Collaboration + Partner with information security, compliance, legal , and risk teams to ensure platform solutions address emerging ... 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
- Santander US (Miami, FL)
- …Financial industry with in-depth expertise in various lines of business, securities , escrow, derivatives, loans, EMIR, Dodd Frank, MiFID. Advanced Microsoft Office ... to read, analyze and interpret government regulations, trade journals and legal documents. Ability to effectively and clearly communicate instructions to others,… more
- Principal Financial Group (Des Moines, IA)
- …with internal and external personnel including senior operations staff, legal , relationship management, IT, banks, brokers, custodians, portfolio managers, and/or ... obtain information, execute routine transactions and resolve problems. + Establish new securities , compliance rules, new accounts, and or new reports to ensure… more
- Citigroup (New York, NY)
- …Work in close partnership with control functions such as Model Risk Management, Legal , Compliance, Market and Credit Risk, Audit, Finance in order to ensure ... to Citi's Code of Conduct and the Plan of Supervision for Global Markets and Securities Services; and ensure that all team members understand the need to do the same… more