- 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
- 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. + Assisting in the design, development, delivery and maintenance of best-in-class … 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
- Raymond James Financial, Inc. (Memphis, TN)
- …appropriate corrective action. + Contacts internal and external customers to resolve trading problems. + Maintains currency in trading policies and procedures. ... rejects on bulk trades for discretionary accounts, works with advisor to reprocess as needed. + Coordinates and processes...and procedures are adhered to, and that the firm's regulatory obligations are met. + Processes various trade related… more
- M&T Bank (Clanton, AL)
- …OFAC and regulatory reporting. **Scope of Responsibilities:** The Senior Compliance Advisor works under general supervision of the respective Senior ... enterprise for their assigned area of responsibility. The Senior Compliance Advisor will help develop, implement, and...evolving business products and services from a fiduciary and regulatory compliance risk perspective . Perform testing… more
- S&P Global (New York, NY)
- …of interest by monitoring and placing restrictions on personal securities holding and trading . The Policy is designed to promote compliance with global ... use):** 11 We are seeking a dedicated professional to support Ratings' Regulatory Affairs team in various activities, including: + Monitoring updates to relevant… more
- Principal Financial Group (Des Moines, IA)
- **What You'll Do** Principal is hiring for a Compliance Advisor to provide support to our advisory and wealth management business partners and build ... **Who You Are** + 6+ years' experience resulting in expertise in broker-dealer trading operations, compliance and the related governing laws and regulations +… 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 ... **Job Description** **Job Summary:** Under limited supervision, the Senior Advisor uses extensive knowledge and skills obtained through education, experience,… more
- Southern California Edison (Rosemead, CA)
- …the Clean Energy Revolution** Become a **Modeling, Forecasting & Economic Analysis, Advisor ** at Southern California Edison (SCE) and build a better tomorrow. In ... coordination, implementation, and validation of complex rate-setting processes ensuring all regulatory requirements are accurately and fully reflected in rates. +… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …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