- Citigroup (Washington, DC)
- …representatives and colleagues in other areas including product, legal & compliance . Accountable for ensuring investments sales are in line with suitability ... to Suitability, Communication with the Public, Outside Activity policies, Employee trading policy, etc. * New investment account and product recommendation reviews… more
- Robert Half Legal (Boston, MA)
- …organizing backup folders, and escalating issues as needed. * Assist the Trading Compliance Group with preparing materials for client certifications and ... financial services industry, offering an exciting opportunity to support compliance and legal operations. The ideal candidate will have...reviewing trade surveillance reports to identify and escalate exceptions. * Ensure… more
- TD Bank (Charlotte, NC)
- …controls), Expense fraud, Third Party and Procurement Fraud, Rogue / Unauthorized trading fraud (including controls around trader mandate, supervision, and trade ... surveillance ) + Technology / access management controls (entitlements /...for coordinating business continuity management (BCM) processes and supporting regulatory/ compliance related initiatives impacting overall risks to the business… more
- TD Bank (Charlotte, NC)
- …controls), Expense fraud, Third Party and Procurement Fraud, Rogue / Unauthorized trading fraud (including controls around trader mandate, supervision, and trade ... surveillance ) + Technology / access management controls (entitlements /...Self-Assessment, Business Continuity Management, Outsourcing & Vendor Management, Regulatory Compliance (eg CDIC, AML, Privacy, IDA, CBA, SOX, Basel… more
- Bank of America (Charlotte, NC)
- …+ Active Listening + Issue Management + Liquidity Management + Monitoring, Surveillance , and Testing + Regulatory Compliance **Shift:** 1st shift (United ... Review and challenge key capital management activities, including Fundamental Review of the Trading Book (FRTB) and Basel 3 market risk rule implementation + Review… more
- JPMorgan Chase (Chicago, IL)
- Bring your expertise to JPMorganChase. As part of Risk Management and Compliance , you are at the center of keeping JPMorganChase strong and resilient. You help the ... impact our company, customers and communities. Our culture in Risk Management and Compliance is all about thinking outside the box, challenging the status quo and… more
- Bloomberg (New York, NY)
- …precise, normalized datasets-fueling accurate valuations, informed decision-making, and regulatory compliance across global financial markets. The Core Data Analysis ... the team delivers transparent, accurate, and high-quality pricing that powers trading , valuation, risk management, and regulatory workflows worldwide. The Futures &… more