- 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
- Truist (Philadelphia, PA)
- …investment, portfolios. 9. Adhere to (and document) risk management and compliance with all relevant regulatory policies and procedures. QUALIFICATIONS ... and acts as a primary source for investment communication. Assists the Wealth Advisor in acquiring Reserve and GenSpring level, prospective clients. 2. Assist Wealth… more
- Wells Fargo (Irving, TX)
- …of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance ), which includes effectively following and adhering to ... **In this role, you will:** + Act as an advisor to senior leadership to develop or influence long-term...with understanding of asset-based lending, reserves-based lending and energy trading dynamics. + 7+ years of Trade Finance and… more
- Mizuho Corporate Bank (New York, NY)
- …KYC Onboarding is required. + Liaise with internal groups such as Legal, Compliance , Sanctions, Regulatory , Tax and Operations Skills and Competencies: + Team ... Liaise with Front Office and clients directly + Review monthly Americas Legal Compliance Dept. (ALCD) exceptions for new onboarding remediation + Adhere to internal… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …managers to acquire information necessary to analyze investment structures, offering terms, trading and operations, along with legal and compliance programs. The ... on the firms' control environments. * Analyze asset managers' adherence to internal compliance policies and regulatory requirements. * Create and execute an… more
- Citigroup (Jersey City, NJ)
- …+ Design and implement distributed computing solutions for risk modeling, pricing and regulatory compliance . + Ensure efficient data storage and retrieval using ... query. + Design and implement distributed computing solutions for risk modeling and regulatory compliance . + Maintain high code quality through testing, CI/CD… more
- KeyBank (Brooklyn, OH)
- …across all of KeyBank, including but not limited to, field/branch roles, trading desks, technology, operations, compliance , risk management. In addition, this ... Parter with third party vendor firms to ensure all governance, risk and compliance activities are managed to regulatory standards; includes learning and… more
- NetApp (Morrisville, NC)
- …and investment matters + Maintain programs and policies to ensure compliance with securities-related regulatory requirements, NASDAQ listing standards, ... corporate and securities matters including '33 and '34 Act reporting and compliance , corporate governance, mergers and acquisitions, equity investments, equity plan … more
- Pacificorp (Portland, OR)
- …+ Develop, write, and sponsor testimony for PacifiCorp, including testifying at state regulatory hearings. + Serve as an advisor and solve complex problems ... entails the optimization of generation and transmission resources including commercial trading activity and the near-term forecasting of load and renewable… more
- Truist (Tampa, FL)
- …investment, portfolios. 8. Adhere to (and document) risk management and compliance with all relevant regulatory policies and procedures. QUALIFICATIONS ... acts as a primary source for investment communication. Assists the Wealth Advisor in acquiring Reserve-level, prospective clients. 2. Assist Wealth Advisors with… more