- Raymond James Financial, Inc. (St. Petersburg, FL)
- … Operations Professional - Financial Industry Regulatory Authority (FINRA), Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority ... office locations: St. Petersburg, FL, Memphis, TN, or Southfield, MI. The Regulatory Operations Analyst plays a key role in supporting the firm's compliance with… more
- Raymond James Financial, Inc. (New York, NY)
- …ensuring adherence to SEC, FINRA, FRB Bank Holding Company, and state securities regulations. + Engage with senior business leaders, providing compliance ... and mitigate regulatory risks. As a key member of the RJF Compliance Senior Leadership Team, the Capital Markets Chief Compliance Officer will collaborate with … more
- Raymond James Financial, Inc. (CO)
- …financial services industry practices. + Principles of banking and finance and securities industry operations . **Skill in** + Investigative analysis and ... The Fraud Monitoring Team Lead serves a dual role as both a senior -level investigator and a team leader within the fraud surveillance function. This position… more
- Raymond James Financial, Inc. (CO)
- …financial services industry practices. + Principles of banking and finance and securities industry operations . **Skill in** + Effective team leadership, ... with internal stakeholders (eg, Quality Control, Analytics, Compliance, Legal, Operations , Technology) and external partners (eg, financial institutions, law… more
- City National Bank (Jersey City, NJ)
- …AUDIT MANAGER- WEALTH MANAGEMENT* WHAT IS THE OPPORTUNITY? The Wealth Management Senior Audit Manager position, reporting to the Audit Director of Wealth Management, ... performed, and effectively communicate audit results to the Audit Director, senior management and applicable Board/Committees in the form of meetings, presentation,… more
- TD Bank (Portland, ME)
- …team member has a chance to make a tangible impact - both in day-to-day operations and in the design of a future-focused compliance program. This not just about ... collaborative and creative in your approach. You will manage day-to-day operations while also helping design and implement a forward-thinking compliance program… more
- DuPont (Newark, DE)
- …Distribution Requirements Planner, Material Planner, Demand Coordinator, Business Process Specialist , or Procurement Process Improvement Specialist -all of which ... + Pursuing or hold a Bachelor's or Master's in Supply Chain Management, Operations Management, Industrial Engineering, or Business or related majors. + GPA of 3.0… more
- MUFG (Tempe, AZ)
- …A member of our recruitment team will provide more details. We're seeking a Senior Operational Risk Specialist to assess the operational risks in the Financial ... need to provide oversight on standard and ad-hoc reporting requirements for senior leaders and support the responses to internal audit and regulatory examinations.… more
- Strategic Organizing Center (Washington, DC)
- …Functions (10%) * Perform additional duties as required to support the team's operations * Assist with project management and coordination of multiple initiatives * ... Support senior staff with various research and administrative tasks An...other data visualization software experience * Knowledge of federal securities regulations and corporate governance frameworks * Knowledge of… more
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