- City National Bank (Los Angeles, CA)
- …guidance to clients. * Collaborate effectively with cross-functional teams, including trading , operations, compliance , and risk, to ensure successful execution ... * ADVISOR SENIOR - FOREIGN EXCHANGE* WHAT IS THE...of transactions and alignment with regulatory standards. * Actively assist in negotiating ISDAs, CSAs,… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …Duties and Responsibilities:** * Reviews requests for Outside Business Activities to ensure compliance with firm policy and regulatory rules. * Interfaces with ... to administer and analyze complex suitability reviews to detect trends, trading patterns and possible rules violations to ensure adherence to securities… more
- Raymond James Financial, Inc. (Denver, CO)
- …and databases. + Critical thinking and decision-making, involving the interpretation of regulatory rules and compliance policies. + Detail orientation to ensure ... units. + May participate in the formation of policies related to compliance . + Performs other duties and responsibilities as assigned. **Knowledge, Skills, and… more
- BMO Financial Group (New York, NY)
- …onboarding, credit and risk colleagues to ensure seamless client experience and compliance with all internal and external policies and procedures + Work closely ... to enhance skills and capabilities. + Consider risk, internal controls and compliance as part of day-to-day accountabilities and adhere to policies and procedures… more
- Tradeweb (New York, NY)
- …efficiency, connectivity, and transparency in electronic trading . https://www.dol.gov/ofccp/regs/ compliance /posters/pdf/eeopost.pdf **Group Details** Tradeweb ... with Business, Technology, and Legal stakeholders to evaluate AI/ML use cases for compliance with privacy, regulatory , and ethical standards. + Develop and… more
- Cargill (Houston, TX)
- … regulatory guidelines relating to commodity swaps and futures trading , and compliance with commodity trading advisor and swap dealer regulations. * ... years of related work experience + Relevant experience in Regulatory Compliance , Operations, Finance, Accounting, Audit, Legal, Sales, Trading , or related… more
- Citigroup (Jersey City, NJ)
- … requirements on a transaction-specific basis. + Liaise with other legal and compliance groups to address information barrier issues, trading in equities and ... fixed income, employee personal trading and various regulatory inquiries. + Gathering, reviewing, investigating and analyzing trade data as well as responding to… more
- TD Bank (New York, NY)
- …engages with key stakeholders across TD Securities, including Markets sales and trading leaders, Technology, Advisory Compliance , and Risk functions. The ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $140,000 - $185,000 USD TD is...review quality and methodology. + Act as a strategic advisor on evolving regulatory expectations, enforcement trends,… more
- Principal Financial Group (Des Moines, IA)
- …advice on employment laws, contract provisions, and HR regulations. + Serve as a compliance advisor on major business initiatives and projects. + Mentor team ... **What You'll Do** We're seeking a strategic, compliance -minded leader to join our team as an...Deep knowledge of HR practices, employment law, and the regulatory landscape. + Strong analytical, communication, and leadership skills.… more
- Citigroup (New York, NY)
- …Receipt programs (eg, ADRs, GDRs), including program structure, lifecycle management, regulatory compliance (eg, SEC filing requirements), and market dynamics. ... (dividends, stock splits, rights issues) as they pertain to DRs. **2. Regulatory and Compliance Landscape** + **SEC Regulations:** Comprehensive understanding of… more