- Boston Consulting Group (Atlanta, GA)
- …third party risk and information management. Contributes to the promotion of the compliance function as a trusted advisor . Supports day-to-day tasks relating to ... Do This is a 12-month temporary role The NAMR compliance function forms part of BCG's Risk Management and...Code of Conduct, and to promote adherence to laws, regulatory requirements, and internal policies and procedures. This is… more
- ExxonMobil (Spring, TX)
- …and corporate facilities. **What Role You Will Play in Our Team** Join ExxonMobil as a Regulatory & Compliance Advisor . Become part of a team responsible for ... tools, (eg policies and procedures, R&R charts) and assist with the preparation of regulatory compliance reports, as required * Keep abreast of upcoming, new and… more
- CHS Inc. (Inver Grove Heights, MN)
- …and energy commodities. CHS's Compliance & Integrity team is seeking a Global Trading Compliance and New Product Risk Senior Director to oversee, monitor and ... Director will lead the development, governance and administration of trading compliance and new product risk management...on regulated entity risk committee and act as a compliance advisor to its Board of Managers… more
- Wells Fargo (St. Louis, MO)
- …of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance ), which includes effectively following and adhering to ... Wells Fargo is seeking a Sales Enablement Manger to lead the Platform Trading Coaching & Support team within Wealth & Investment Management (WIM) Support Services… more
- JPMorgan Chase (New York, NY)
- …essential guidance and oversight to ensure JP Morgan maintains high standards of regulatory compliance . By joining our collaborative team, you will gain broad ... controls + Update team leads and other internal decision-makers on regulatory compliance developments **Required Qualifications, Capabilities, and Skills:** +… more
- JPMorgan Chase (New York, NY)
- …tactical objectives. As a Business Manager within our North America Cash Equities Trading Business, you will optimize business performances by helping to drive key ... initiatives. You will act as a trusted advisor and counterweight to Business/Group Heads, and are responsible...aligning department and support groups (Finance, Tech, Ops, Legal, Compliance ) + Optimize 'bottom line' business performance by driving… more
- Bank of America (New York, NY)
- Direct Markets Coverage Brokerage Services Financial Advisor New York, New York **To proceed with your application, you must be at least 18 years of age.** ... must be at least 18 years of age.** Acknowledge (https://ghr.wd1.myworkdayjobs.com/Lateral-US/job/New-York/Brokerage-Services-Financial- Advisor \_25035237) **Job Description:** Merrill Wealth Management is a leading… more
- Vanguard (Malvern, PA)
- …at the forefront of innovation in investment advisory services. As a Compliance Advisor supporting Vanguard Personalized Indexing Management (VPIM), you'll play ... future of our personalized investing offers. You'll serve as a strategic compliance partner, ensuring regulatory integrity and operational excellence across… more
- 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
- Vanguard (Malvern, PA)
- …job requires regulatory licenses and registrations as determined by Vanguard's compliance team. + FINRA 7, 63 and 24 required. Special Factors Sponsorship ... As the Senior Manager, Head of Operation Client Relationships for our Financial Advisor Services (FAS) business, you will lead the development of a best-in-class… more
- TD Bank (New York, NY)
- …to automation and process improvement initiatives to enhance documentation workflows and regulatory compliance . + Prepare and deliver reporting on documentation ... system + Supports internal initiatives related to documentation, process automation, and regulatory compliance **Education & Experience:** + Law degree is… more
- Citizens (Westwood, MA)
- …governance to proactively reduce operational errors, enhance reconciliation, and support regulatory compliance . + Modernizing investment operations to drive ... + Develop and maintain a product roadmap for the Portfolio Management and Trading Platform, focused on delivering exceptional advisor and client experiences,… more
- JPMorgan Chase (New York, NY)
- …+ Work with Legal, Compliance , and Risk partners to address regulatory requirements and support risk management in trading and investment activities. ... through agile implementation, with attention to investment execution, asset servicing, and regulatory compliance . + Research and analyze new product capabilities… more
- Wells Fargo (Iselin, NJ)
- … advisor to leadership. Design, develop, and maintain electronic trading systems to meet low-latency, high-throughput requirements for key eTrading components ... trading systems in production environments, ensuring stability, resilience, and compliance with regulatory requirements. telecommuting is permitted up to 2… more
- Cognizant (Fort Mill, SC)
- …Skilled in rebalance and overlay trading functionality, operations infrastructure, and regulatory compliance for trading and portfolio management. + ... product transformations in Asset & Wealth Management, with a focus on trading , portfolio rebalancing, UMA, and householding. + Define mid- and long-term technology… 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
- 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
- JPMorgan Chase (New York, NY)
- …agile implementation, with a focus on investment execution, asset servicing, and regulatory compliance . + Identify and analyze new product capabilities and ... to support UX design, technology development, and operations. + Collaborate with Legal, Compliance , and Risk to address regulatory exposure and ensure robust… more
- BMO Financial Group (New York, NY)
- …a focus on Capital Market products. This role combines strategic oversight, regulatory engagement, and technical expertise to ensure compliance and resilience ... solid understanding of the business strategies and in-depth product, market, and regulatory knowledge across all retail, commercial, and trading products.… more
- Scotiabank (Dallas, TX)
- …pursue effective and efficient operations, ensuring adherence to operational risk, regulatory compliance risk, AML/ATF risk, and conduct risk frameworks. ... management framework for the US portfolio. This role ensures robust risk controls, compliance with regulatory and internal requirements, and the advancement of a… more
