- 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
- JPMorgan Chase (New York, NY)
- …with institutional clients, acting as a trusted advisor . + Ensure compliance with all regulatory requirements and internal policies. + Utilize advanced ... **Job Summary:** The Vice President, High Touch Trading will be responsible for executing equity trades...achieving best execution. + Provide strategic market insights and trading strategies to clients. + Monitor market conditions and… 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 (IL)
- …Organization supporting the Risk, Change, Experience & Strategy (RCES) First Line of Defense Regulatory Compliance team. This is a remote position. Work may be ... opportunity to contribute to the company's success. As a Compliance Program Advisor , you will be within...will also be responsible for the following: - Coordinating regulatory compliance efforts for PNC's organizations, planning,… 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
- Shell (Houston, TX)
- …Delegated Reporting agreements, Broker agreements, Service Level Agreements etc. ensuring compliance with both regulatory and Shell-mandated requirements. + ... business and supporting functions with regard to derivatives contractual arrangements ensuring compliance with both regulatory and Shell mandated requirements. +… more
- Raymond James Financial, Inc. (Denver, CO)
- …moderate scope and complexity. **Essential Duties and Responsibilities:** * Conducts compliance and suitability reviews, and monitors trading activities, through ... * General office practices, procedures, and methods. * Suitability and other compliance issues involved with branch manager/FA trading activity. * Knowledge… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …regulations and limit firm liability. Conduct internal reviews to ensure compliance with regulatory requirements and internal policies including potential ... + Reviews requests for Outside Brokerage Accounts to ensure compliance with firm policy and regulatory rules...procedures, and methods. + Conflicts of Interest and other compliance issues involved with branch manager/FA trading … 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
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …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
- 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
- BMO Financial Group (New York, NY)
- …onboarding, credit and risk colleagues to ensure seamless client experience and compliance with all internal and external policies and procedures + Work closely ... to enhance skills and capabilities. + Consider risk, internal controls and compliance as part of day-to-day accountabilities and adhere to policies and procedures… more
- Tradeweb (New York, NY)
- …efficiency, connectivity, and transparency in electronic trading . https://www.dol.gov/ofccp/regs/ compliance /posters/pdf/eeopost.pdf **Group Details** Tradeweb ... with Business, Technology, and Legal stakeholders to evaluate AI/ML use cases for compliance with privacy, regulatory , and ethical standards. + Develop and… more
- Cargill (Houston, TX)
- … regulatory guidelines relating to commodity swaps and futures trading , and compliance with commodity trading advisor and swap dealer regulations. * ... years of related work experience + Relevant experience in Regulatory Compliance , Operations, Finance, Accounting, Audit, Legal, Sales, Trading , or related… 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)
- …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:** $140,000 - $185,000 USD TD is...review quality and methodology. + Act as a strategic advisor on evolving regulatory expectations, enforcement trends,… 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