- 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
- 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
- PNC (Pittsburgh, PA)
- …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
- 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
- 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:** November 10, 2025 **Business unit:** Trading … 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
- Citigroup (Washington, DC)
- …arrangements), and offering expert oversight, ensuring consistency, robustness, and regulatory compliance across multiple geographies and exposure types.** ... **The Lead Counsel 2 ( Regulatory ) is a senior level position that sits...serving as a subject matter expert and key legal advisor to business stakeholders, functional partners, and the Legal… 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
- 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 (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
- Citigroup (Tampa, FL)
- …Lead Analyst is a senior-level position responsible within Fixed Income Electronic Trading technology team at Citigroup. We are looking for a professional who ... working as a Business Analyst leading all business discretionary, mandatory, and regulatory projects from inception through go live. Successful candidate will be an… more
- Insight Global (Wayne, PA)
- …and technologically adept. The individual will manage account administration, advisor transitions, client onboarding, reporting, and compliance support ... Onboarding * Oversee the end-to-end onboarding process, including paperwork, funding, and compliance reviews. * Prepare and distribute regulatory documents (ADV,… 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
- JPMorgan Chase (Boston, MA)
- …marketing material and customers' statements to ensure compliance with various regulatory and legal requirements + Monitor the trading practices of Advisors ... dissemination of information relating to changes in policy and regulatory rules. Discuss Compliance and new product...required by firm policy and review and resolve personal trading policy violations with Compliance and Regional… more