- Citizens (Tarrytown, NY)
- … control testing and monitoring, and training and awareness. + Lastly, the Principal Control Professional is responsible for incident management and ... and research, while intimately focusing on each client's unique circumstances. The Principal Control Analyst is responsible for conducting supervisory reviews of… more
- Capital One (New York, NY)
- Principal Auditor (Experienced Senior Auditor), Corporate Compliance & Securities / Transactions Audits (Hybrid) Capital One's Audit function is a dedicated ... creates a dynamic and challenging atmosphere for both personal growth and professional opportunity. Capital One is seeking an energetic, self-motivated Principal … more
- Wells Fargo (Atlanta, GA)
- **About this role:** Wells Fargo is seeking a Principal Commercial Banking Relationship Manager for Specialized Industries in Commercial Auto as part of the ... organization's business and financial operations + Strategically lead all levels of professional and managers across the enterprise to improve processes and risk … more
- Wolters Kluwer (Princeton, NJ)
- ** Principal AI Engineer & Applied Researcher** **Job Description** Wolters Kluwer is a global leader in professional information services. Professionals in ... better understand complex legal issues in key areas like securities , tax, and other practices of law. VitalLaw AI...help create better client deliverables. In the role of Principal AI Engineer & Applied Researcher, you will take… more
- Citigroup (San Antonio, TX)
- The Business Risk Officer is a strategic professional who stays abreast of developments within own field and contributes to directional strategy by considering their ... **Responsibilities:** + Responsible for managing and supporting multiple risk and control programs for the organization including defining the strategy, approach,… more
- Raymond James Financial, Inc. (Memphis, TN)
- …and experience to manage and coordinate: budget preparation and control , financial reporting, human resources administration, space and facilities planning, ... management principles and practices. + Finance, accounting, budgeting, and cost control policies and procedures. + Investment concepts, practices and procedures used… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …email, and occasional personal visits. + Educates client on the functions of various securities markets and the principal factors that affect them. + Provides ... compliance requirements, alternate security valuations, cost basis, and gain/loss. + Securities products including equities, fixed income, annuities, and options. +… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …General Experience - More than 15 years **Certifications** OS - Operations Professional - Financial Industry Regulatory Authority (FINRA), Securities Industry ... as necessary. + Uses financial data and performance indicators to establish control mechanisms and other improvement initiatives. + Develop and administer policies,… more
- MUFG (Tempe, AZ)
- …of the Bank's risk governance, enterprise and operational risk management and control processes. This role includes, but is not limited to, execution of ... industry best practices, applicable regulations, and internal and external professional practice expectations. + Act as a leader and...choices are rooted in good judgment and support MUFG's Principal of Ethics and Conduct. + Operate with an… more
- MUFG (Tempe, AZ)
- …assess and evaluate the effectiveness of the Bank's governance, risk management and control processes. This position is within the Global Sanctions / OFAC team and ... industry best practices, applicable regulations, and internal and external professional practice expectations. + Act as a leader and...choices are rooted in good judgment and support MUFG's Principal of Ethics and Conduct. + Operate with an… more
- MUFG (Tampa, FL)
- …to assess and evaluate the effectiveness of the Bank's governance, risk management and control processes. It reports to either a VP, Audit Lead or a Director, Sr. ... industry best practices, applicable regulations, and internal and external professional practice expectations. + Act as a leader and...choices are rooted in good judgment and support MUFG's Principal of Ethics and Conduct. + Operate with an… more
- MUFG (Tempe, AZ)
- …also operating within industry best practices, applicable regulations, and external professional practice expectations + Build relationships with peers and clients ... organization and exhibit a high standard of performance and professional conduct that will create a culture of integrity...choices are rooted in good judgment and support MUFG's Principal of Ethics and Conduct. + Operate with an… more
- Raymond James Financial, Inc. (Memphis, TN)
- …General Experience - 7 to 12 months **Certifications** OS - Operations Professional - Financial Industry Regulatory Authority (FINRA), Securities Industry ... this role is responsible for monitoring the possession and control of client assets, preparing and validating regulatory reports,...7, 17, 37 or 38 or those who hold principal -level registrations: Series 4, 9/10, 14, 16, 23, 24,… more
- Citigroup (Boston, MA)
- The Investment Counselor Principal is a strategic professional who closely follows latest trends in own field and adapts them for application within own job and ... conduct and business practices, and escalating, managing and reporting control issues with transparency. **Qualifications:** + 15+ years of...S7, S66 (or 63 & 65) & S31; NOTE: Securities Industry Exam (SIE is a prerequisite to the… more
- Citigroup (New York, NY)
- …financing, we aim to be your comprehensive financial partner. The Investment Counselor Principal is a strategic professional who closely follows latest trends in ... conduct and business practices, and escalating, managing and reporting control issues with transparency. **Qualifications:** + 15+ years of...S7, S66 (or 63 & 65) & S31; NOTE: Securities Industry Exam (SIE is a prerequisite to the… more
- Citigroup (Greenwich, CT)
- The Investment Counselor Principal is a strategic professional who closely follows latest trends in own field and adapts them for application within own job and ... conduct and business practices, and escalating, managing and reporting control issues with transparency. **Qualifications:** + 15+ years of...S7, S66 (or 63 & 65) & S31; NOTE: Securities Industry Exam (SIE is a prerequisite to the… more