- JPMorgan Chase (Boston, MA)
- …JP Morgan, we've experienced breakthrough growth over the last year. Today, 450 financial advisor firms with $1 trillion in assets (and counting) are using 55ip. As ... This role combines operational understanding, and analytics with market dynamics and trading practices. The VP acts as a liaison between assets managers, traders,… more
- Citigroup (New York, NY)
- …industry trends, enhancing business profitability, and strengthening risk and controls and regulatory compliance . The product manager will help scope and define ... The Product manager also stays abreast of industry and regulatory trends to help shape innovative product design, ensure...They will also liaise with other key stakeholders (legal, compliance , risk, etc) in solution design and delivery. +… more
- Wells Fargo (New York, NY)
- …of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance ), which includes effectively following and adhering to ... on data analysis and data tool creation to support trading management in reporting and decision making. The ideal...this role, you will:** + Serve as a strategic advisor to senior leadership, shaping objectives, plans, and long-term… more
- Medtronic (Los Angeles, CA)
- …corporate governance by managing board operations, maintaining corporate records, ensuring regulatory compliance , and advising leadership on governance and ... of meeting materials. + Proactively monitoring and advising oncorporate governance, legal, regulatory , and other developments to ensure compliance with changing… more
- Charles Schwab (Westlake, TX)
- …and Compliance personnel regarding the applicability of rules and regulatory requirements, internal guidelines, and workflows to meet business needs. **What you ... have** **Required Qualifications:** + A minimum of 10 years of supervision/ compliance / regulatory experience + A minimum of 5+ years of people leadership with… more
- Mizuho Corporate Bank (New York, NY)
- …and the broader program to identify areas for continuous improvement. + Ensure compliance with applicable regulatory requirements and serve as a liaison with ... Legal, Compliance , and other functions, serving as a trusted advisor and providing constructive challenge and oversight of resilience-related plans and… more
- VF Corporation (Costa Mesa, CA)
- …to recognize and manage risks, employ risk-mitigation strategies, advise on regulatory and contractual compliance , and assist with various operational ... provide exceptional disclosure to investors and other stakeholders, ensuring compliance with public company regulations, facilitating strategic business transactions… more
- Truist (Richmond, VA)
- …Sales Management. + Review of Electronic Correspondence/Social Media Review to ensure compliance with Regulatory requirements as well as current firm policy. ... + Bachelor's degree in Finance or Business. + 7 or more years of regulatory , compliance or supervisory experience + FINRA Series 4 **General Description of… more
- BMO Financial Group (New York, NY)
- …financial instruments such as equity, derivatives, structured liquidity derivatives, trading exotic/equity options, and complex derivatives. The role demands ... metrics, and program standards for the assigned portfolio to ensure compliance and effective monitoring, timely reporting and identification of action plans.… more
- Raymond James Financial, Inc. (Seattle, WA)
- …requests with accuracy + Review and execute trades as part of a nightly trading team, working non-standard hours one to three nights a week. + Respond accurately ... Services provide retirement plan administration services, recordkeeping, consulting, actuarial, compliance and participant_ _services. Based_ _in Seattle, Washington, NWPS… more