- Chevron Corporation (Houston, TX)
- Chevron is accepting online applications for the position **Senior Trading Compliance & Regulatory Advisor ** through October 15, 2025 at 11:59 pm (CDT). ... The **Senior Trading Compliance & Regulatory Advisor ** is part of Corporate Treasury - Credit, Risk Control & Trading Compliance division. Our… 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
- Wells Fargo (New York, NY)
- …of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance ), which includes effectively following and adhering to ... into the platform, delivering automated guardrails, real-time exposure monitoring, and compliance with regulatory standards-making this role central to both… 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. (Southfield, MI)
- …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
- Vanguard (Malvern, PA)
- …about shaping the future of ethical investing. As a Senior Compliance Advisor , you'll be at the forefront of regulatory strategy, helping ensure our ... advising business units on how to meet and exceed regulatory expectations. Design & Enhance Compliance Programs...and refine compliance processes for investment products, trading activities, and client interactions. Trusted Advisor … more
- Principal Financial Group (Des Moines, IA)
- **What You'll Do** Join our Benefits & Protection Compliance team as a Compliance Advisor supporting regulatory excellence in the life and disability ... insurance space! You'll partner with business leaders to ensure compliance with laws and regulations, manage regulatory ...to personal and business conduct as well as personal trading activities for you and members of your household.… more
- Vanguard (Malvern, PA)
- …guidance, and topical training to IMG crew on interna policy and procedures and regulatory requirements. + Act as the compliance subject matter expert for ... processes and programs that support Vanguard's investment products and trading activities. + Act as the point of contact...with at least two years within a financial services compliance function. Regulatory , compliance , investment,… more
- Principal Financial Group (Des Moines, IA)
- …bridging business growth with regulatory excellence? We're seeking a strategic Compliance Advisor professional to partner with our Marketing and Sales teams ... opportunity is for you. **What You'll Do** + Serve as a trusted advisor to Sales and Marketing, delivering business-friendly compliance solutions that balance… more
- Vanguard (Malvern, PA)
- …and interfaces regularly with business unit stakeholders and internal risk and compliance partners + Manages regulatory visits, exams, inquiries and ... Supports the development, implementation, and maintenance of compliance processes, as well as compliance ...business activities and investment products. Serves as a trusted advisor to the business, provides guidance and oversight of… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …account trading activity of clients' accounts by monitoring financial advisor activity, reporting findings and managing concerns in a professional and ... and databases. + Critical thinking and decision-making, involving the interpretation of regulatory rules and compliance policies. + Detail orientation to ensure… 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
- Charles Schwab (Westlake, TX)
- …sustaining collaborative relationships across the enterprise + Experience navigating regulatory environments within financial services, ensuring compliance with ... us "challenge the status quo" and transform the finance industry together. Schwab Advisor Services, the leading provider of custodial, operational, and trading … more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …* 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
- Southern California Edison (Rosemead, CA)
- Join the Clean Energy Revolution Become a Senior Energy Operations Advisor at Southern California Edison (SCE) and build a better tomorrow. In this job, you will ... position is part of a team of nine Energy Trading Operations/Support personnel reporting directly to the Senior Manager...our industry as a high-performance organization. As a Senior Advisor , your work will help power our planet, reduce… more
- Charles Schwab (Westlake, TX)
- …the policies and procedures governing various departments within Advisor Services (AS), Advisor Custody & Trading (ACT) **What's in it for you** At Schwab, ... This support will be provided from a risk and regulatory perspective. The Specialist will also build templates and...conduct analysis to provide decision support for the AS Advisor Enrollment Mergers & Acquisitions Team while balancing risk… more
- Raymond James Financial, Inc. (Denver, CO)
- …managers through the use of various reports and systems. * Pro-actively ensures compliance with applicable industry rules (ie State, FINRA & SEC) and platform ... policies and procedures as they apply to account trading activity of branch managers clients' accounts by monitoring branch manager activity, reporting findings and… more
- Raymond James Financial, Inc. (Denver, CO)
- …Duties and Responsibilities:** * Reviews requests for Outside Business Activities to ensure compliance with firm policy and regulatory rules. * Interfaces with ... to administer and analyze complex suitability reviews to detect trends, trading patterns and possible rules violations to ensure adherence to securities… more