- 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
- US Bank (Minneapolis, MN)
- …adviser and sub-advisers. This position also will primarily assist with Portfolio and Trading Compliance and the overall daily monitoring of trade activity. This ... procedures and controls. **_Major Responsibilities:_** Assist the Director of Portfolio and Trading Compliance (" Compliance Director") with the compliance… 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 ... executed controls. **Job Responsibilities** + Serve as the embedded operational risk advisor within trading and technology teams, acting as the first… more
- Citigroup (New York, NY)
- The Senior Lead Counsel II/Director - Debt Trading & Reorganization and Credit Derivatives is a senior level position responsible for serving as strategic business ... legal counsel and thought leadership to Citi's Spread Products - Sales & Trading business. (Note: Citi uses the designation "Spread Products" to refer to credit… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …per month in our St Petersburg, FL corporate office._ As a Sr Mutual Fund Trading Support Associate, you will be responsible for executing a variety of standard and ... excellence will contribute to the integrity and efficiency of our trading support functions. **Responsibilities:** + Manually facilitates trade order processing when… more
- PNC (OH)
- …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
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …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)
- …various compliance and suitability reviews to detect trends of post- trading patterns, and possible rules violations to ensure adherence to securities industry ... research, and resolve problems. **Essential Duties and Responsibilities:** * Conducts compliance and suitability reviews, and monitors trading activities,… more
- Vanguard (Malvern, PA)
- …related work experience, with at least two years within a financial services compliance function. Regulatory , compliance , investment, or auditing experience ... will be a member of a team of dedicated compliance professionals who play a critical role in ensuring...play a critical role in ensuring Vanguard adheres to regulatory requirements and internal policies, focusing on information barriers,… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …strategies.* General office practices, procedures, and methods.* Suitability and other compliance issues involved with branch manager/FA trading activity. ... and databases. * Critical thinking and decision-making, involving the interpretation of regulatory rules and compliance policies. * Detail orientation to ensure… 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
- Raymond James Financial, Inc. (CO)
- …regulation and firm guidelines. In addition, the team detect trends, and trading patterns to ensure adherence to securities industry regulations and limit firm ... liability. The Senior Advisor of the Annuity and Insurance Products review team...administer and analyze complex suitability reviews to detect trends, trading patterns and possible rules violations to ensure adherence… more
- Raymond James Financial, Inc. (Southfield, MI)
- … to review and analyze various communication reviews and content to ensure compliance with regulatory expectations and firm policies and procedures. This ... * General office practices, procedures, and methods. * Suitability and other compliance issues involved with branch manager/FA trading activity. **Skill in:**… more
- Phillips 66 (Houston, TX)
- …Commercial **Contract Coordinator/ Advisor ** plays a critical role in supporting trading operations by ensuring contract accuracy, compliance , and efficiency. ... contract tasks. + Assist with internal and external audit reviews, ensuring compliance with regulatory and company standards. + Develop and track… 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
- Truist (Richmond, VA)
- … activity. + Provide oversight and support for open risk, audit, and regulatory issues. + Primary reviewer of advisor Regulation Best Interest documentation ... Regional Sales Management. Review of Electronic Correspondence/Social Media Review to ensure compliance with Regulatory requirements as well as current firm… more
- Raymond James Financial, Inc. (CO)
- …+ General office practices, procedures, and methods. + Suitability and other compliance issues involved with branch manager/FA trading activity. **Skill in:** ... **Job Description** **Job Summary:** The Senior Advisor , Money Movement Supervision will administer and analyze...+ Critical thinking and decision-making, involving the interpretation of regulatory rules and compliance policies. + Detail… more
- Raymond James Financial, Inc. (Denver, CO)
- …will administer and analyze various communication reviews and content to ensure compliance with regulatory expectations and firm policies and procedures. ... and databases. Critical thinking and decision-making, involving the interpretation of regulatory rules and compliance policies. Detail orientation to ensure… more
- Fannie Mae (Washington, DC)
- …business objectives. *THE IMPACT YOU WILL MAKE* The MF Risk - Risk Management - Advisor role will offer you the flexibility to make each day your own, while working ... of governance documents and procedures aligned with internal policies and standards and regulatory guidance. * Strong knowledge of model risk management and related … more
- PNC (OH)
- …an opportunity to contribute to the company's success. As a Closely Held Business Advisor within PNC Private Bank, you are able to be located in any geographical ... a closely-held asset can be accepted into a specific account. + Provides compliance -based reporting for assets that have been flagged as exceptions. PNC Employees… more