- State of Arkansas (Little Rock, AR)
- … firms, broker-dealers, and investment advisers in an attempt to ensure compliance with securities laws and regulations. This role involves supporting ... Position Number: 22124766 County: Pulaski Posting End Date:...to identify abnormalities, irregularities, or areas of concern.Evaluate basic compliance with securities laws, regulations, and policies.Support… more
- Magnetar (Evanston, IL)
- …initiatives. We hope you'll consider joining us as you explore a career at Magnetar! Position Overview As a Compliance Officer at Magnetar, the role will be ... of Ethics monitoring, trade surveillance monitoring, testing, training, and developing compliance policies, procedures and internal controls. This position … more
- Crescent City Recruitment Group (New York, NY)
- …and SEC filings . Conduct legal research and provide regulatory analysis related to securities law compliance and corporate governance . Support the execution of ... Experience : Prior exposure to complex capital markets transactions, securities offerings, or corporate governance is preferred. Sector Interest: Interest… more
- Sysco Corporation (Houston, TX)
- …Work from home on Thursday and Friday. The Associate General Counsel, Securities and Corporate Governance will report to the Executive Vice President, Chief ... and business stakeholders at all levels across the enterprise on securities , corporate governance, compensation and benefits, [entity management] and ESG matters.… more
- Heidrick & Struggles (Chicago, IL)
- …support - assist, prepare, review and submit periodic reports filed with the US Securities and Exchange Commission for Section 16 compliance (Forms 3, 4 and ... found at www.heidrick.com. The Role: The Lead Paralegal, Corporate Governance & Securities will be responsible for comprehensive support of all matters relating to… more
- CoreWeave (Bellevue, WA)
- …If reasonable accommodation is needed, please contact: ###@coreweave.com. Export Control Compliance This position requires access to export controlled ... releases, blog posts, earnings releases and investor presentations, ensuring compliance with Regulation FD and other disclosure requirements. Monitor developments… more
- IQVIA, Inc. (Parsippany, NJ)
- …(ie, Broadridge, Equiniti, Workiva) and logistics for Annual Shareholders' Meeting. Securities Law Compliance Handle technical preparation, formatting and filing ... projects for sustainability rating agency data Support coordination of compliance with various sustainability disclosure frameworks General Corporate Manage certain… more
- Santander Bank (New York, NY)
- Advisory Compliance Officer - Fixed Income Business Line Compliance Country: United States of America Your Journey Starts Here: Santander is a global leader and ... Want to Talk to You! USA Job Family Description: You will provide real-time compliance advisory support to the US Global Markets Business sales and trading business… more
- BBVA (Houston, TX)
- …scientists, developers, engineers and designers. About the job: ABOUT THE ROLE: This position will support the BSA/AML and Sanctions Compliance Department, which ... with a requirement for 3 days in office. The Compliance Systems Analyst position is a dynamic...the company will not pursue visa sponsorship for these positions Legal requirements It is not typical for offers… more
- S&P Global, Inc. (New York, NY)
- …to US candidates) S&P Global states that the anticipated base salary range for this position is $108,720 to $185,730. Final base salary for this role will be based ... innovation and power global markets. S&P Global has a Securities Disclosure and Trading Policy ("the Policy") that seeks...holding and trading. The Policy is designed to promote compliance with global regulations. In some Divisions, pursuant to… more
- S&P Global, Inc. (New York, NY)
- …Information: S&P Global states that the anticipated base salary range for this position is $130,100 to $190,000. Final base salary for this role will be ... innovation and power global markets. S&P Global has a Securities Disclosure and Trading Policy ("the Policy") that seeks...holding and trading. The Policy is designed to promote compliance with global regulations. In some Divisions, pursuant to… more
- Ollie's Bargain Outlet (Harrisburg, PA)
- …Associate discount on all Ollie's purchases. Vast array of voluntary benefits Position Overview: The External Reporting and Compliance Accountant supports all ... as other internal departments and outside service providers. This position reports to the Director of External Reporting and... reports to the Director of External Reporting and Compliance and will enhance processes and controls and ensure… more
- KBRA (New York, NY)
- Position Title: REIT and Real Estate Fund Ratings Analyst - Senior Director (NY) Department: REIT Employment Type: Full-time Location: New York, NY Summary/Overview: ... terms of bond offering documents and credit facilities and monitor covenant compliance . Maintain peer group comparisons of credit metrics generated internally and… more
- Citigroup, Inc. (New York, NY)
- …from you: 15+ years of experience, including 8-10+ years' managerial experience in Securities Services and/or a similar position with strong client focus. ... to recruit a client focused leader at C15 Director level to support Securities Services Operations, who will be responsible for leadership of CitiService teams… more
- BBVA (New York, NY)
- …including but not limited to the following: Global Corporate Clients, Legal, Compliance , Credit Risk, Operations and Funding Desk. Negotiating credit agreements with ... to ensure credit quality and profitability standards and budget compliance All qualified applicants will receive consideration for employment...status as a protected veteran. With respect to this position in our New York Office, the expected base… more
- Vibrantz Technologies, Inc. (Cleveland, OH)
- …and Safety Regulations. Act in accordance with Vibrantz Values and Behaviors. This position should maintain compliance with all Federal, State, and Local ... uniquely - their hearts. Vibrantz is owned by American Securities , a leading US private equity firm that invests...ovens, scales, lift trucks, and mobile equipment. Responsibilities Ensure compliance with all safety rules and use of proper… more
- Fidelity Investments (Roanoke, TX)
- …expense calculations Assist with internal and external auditor, risk, and compliance inquiries Provide feedback, direction, assists in development of and ensures ... and regulatory guidelines Ensure that all processes have sufficient Risk and Compliance controls and policies and procedures are communicated and followed. Evaluate… more
- Morningstar, Inc. (New York, NY)
- …DBRS is seeking a seasoned and analytical leader to join our Asset-Backed Securities (ABS) Ratings team as a Senior Vice President focused on Commercial and ... instruments globally. Rating more than 4,000 issuers and 60,000 securities , it is one of the top four credit...and any related investments be disclosed confidentiality to our Compliance team (days vary by region). These investments will… more
- Fifth Third Bank (New York, NY)
- …ensures coordination of due diligence and workflow of team members to ensure compliance with appropriate standards, and completion in a timely manner. This ... position is expected to solicit participations in the public...support to the Capital Markets businesses by assessing whether securities products and capital markets services would be appropriate… more
- United Nations (New York, NY)
- … with the rules and regulations pertaining to OIM's Code of Ethics, Personal Securities , Gift and Hospitality policies. *For this position , applicants from the ... KYC requests from counterparties and respond to these requests to ensure compliance with regulatory requirements *Coordinates and supervises income and position … more
