- Citizens (Boston, MA)
- … 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
- 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
- JPMorgan Chase (Chicago, IL)
- …capabilities, and skills** + A minimum of 7 years of experience in the securities /investment industry. + Must hold FINRA Series 7 and one or more of the ... be met within 120 days of hire. + Demonstrated knowledge of relevant securities rules, regulations, guidelines, securities products, and industry practices. +… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …as necessary. + Uses financial data and performance indicators to establish control mechanisms and other improvement initiatives. + Develop and administer policies, ... in a sponsorship role. + Principles of finance and securities industry operations. + Financial markets and products. +...7, 17, 37 or 38 or those who hold principal -level registrations: Series 4, 9/10, 14, 16, 23, 24,… 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
- Unitil (Hampton, NH)
- …areas of the Analyst role include: + Budgeting, Reporting, and Cost Control + Financial Modeling, Forecasting, and analysis supporting strategic decision making + ... have a strong understanding of utility regulation and the rate making structure. Principal Accountabilities: Time % End Results 20% Budgeting, Reporting, and Cost … more
- Citigroup (Miami, FL)
- Job Description The Investment Counselor Principal is a strategic professional who closely follows latest trends in own field and adapts them for application ... conduct and business practices, and escalating, managing and reporting control issues with transparency. Qualifications: 15+ years of experience...S7, S66 (or 63 & 65) & S31; NOTE: Securities Industry Exam (SIE is a prerequisite to the… more
- Citigroup (San Francisco, CA)
- …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:** + 10+ years of...S7, S66 (or 63 & 65) & S31; NOTE: Securities Industry Exam (SIE is a prerequisite to the… more