- 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
- HSBC (New York, NY)
- …pending changes + Have conversations with external clients related to complex trading agreement negotiations and regulatory issues impacting the firm's business ... Work style: Hybrid Worker Date: 23 Oct 2025 In compliance with applicable laws, HSBC is committed to employing...join our Corporate and Institutional Legal team covering markets regulatory , working together with colleagues to define, manage and… more
- Capco, a Wipro Company (Chicago, IL)
- …on how to embed AI across core business areas such as risk, compliance , trading , and customer experience. **Generative AI Enablement & Solution Delivery** ... approach, we help our clients successfully innovate, increase revenue, manage risk and regulatory change, reduce costs, and enhance controls. Our teams stay at the… 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
- JPMorgan Chase (New York, NY)
- …clients, serving as a senior advisor and trusted partner. + Ensure compliance with all regulatory requirements and internal policies, setting the standard ... The Executive Director, High Touch Trading , will lead the strategic direction and execution...Summary:** As an Executive Director for our High Touch Trading team, you will lead the strategic direction and… more
- BMO Financial Group (New York, NY)
- …across the commodities platform. The successful candidate will act as a trusted advisor to trading desks, providing expert guidance on market, credit, ... advisory services to clients around the world. #bmocapitalmarkets The **Director, Commodities Trading Risk Strategy** , will lead first-line risk oversight for the… more
- Raymond James Financial, Inc. (Memphis, TN)
- …appropriate corrective action. + Contacts internal and external customers to resolve trading problems. + Maintains currency in trading policies and procedures. ... rejects on bulk trades for discretionary accounts, works with advisor to reprocess as needed. + Coordinates and processes...and procedures are adhered to, and that the firm's regulatory obligations are met. + Processes various trade related… more
- JPMorgan Chase (New York, NY)
- …found the right role. Join the team that serves as the trusted control advisor for our Corporate & Investment Bank's US Business Control Management Equities Team. ... risk excellence and control mitigation to manage continuous changes in the regulatory landscape. As a Business Control Manager Vice President within the Commercial… more
- PNC (MI)
- …Risk, Change, Experience & Strategy (RCES) First Line of Defense Regulatory Compliance team. The Compliance Program Advisor should have the following: ... Advisor will also be responsible for the following: - Coordinating regulatory compliance efforts for PNC's organizations, planning, developing, and… 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
- Shell (Houston, TX)
- …Policy. Additionally, the individual is responsible for assisting with Financial & Energy Regulatory compliance as needed. **What you'll be doing** + Trade ... Texas, United States of America **Job Family Group:** Compliance **Worker Type:** Regular **Posting Start Date:** October 7, 2025 **Business unit:** Trading and… 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
- Raymond James Financial, Inc. (Denver, CO)
- …* General office practices, procedures, and methods. * Suitability and other compliance issues involved with branch manager/FA trading activity. **Skill in:** ... and databases. * Critical thinking and decision-making, involving the interpretation of regulatory rules and compliance policies. * Detail orientation to ensure… 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
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …and databases. Critical thinking and decision-making, involving the interpretation of regulatory rules and compliance policies. Detail orientation to ensure ... business units. May participate in the formation of policies related to compliance . Performs other duties and responsibilities as assigned. **Knowledge, Skills, and… 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
- 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:** $150,000 - $185,000 USD TD is...review quality and methodology. + Act as a strategic advisor on evolving regulatory expectations, enforcement trends,… 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)
- …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
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