- 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
- 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
- Capital One (New York, NY)
- Compliance Advisor Manager Corporate Compliance is seeking a Compliance Advisor Manager to advise Tax Credit Finance and Tax Credit Operations, ... Program drives investments in low-income and underserved communities. The Compliance Advisor Manager will also advise on...Markets + Master's Degree or Juris Doctor + Certified Regulatory Compliance Manager (CRCM) or Certified Enterprise… more
- CIBC (Madison, IL)
- …the referenced compliance program meets its objective. + Monitoring trading activity against investment restrictions and regulatory requirements. + ... Compliance works to identify, assess, manage and mitigate regulatory compliance risk to protect CIBC's reputation...a strong, innovative and relationship-oriented bank. CIBC seeks a Compliance Advisor that will be instrumental in… more
- Principal Financial Group (Des Moines, IA)
- **What You'll Do** Principal is hiring for a Compliance Consultant to provide support to our business partners and build relationships that will strengthen our ... acts as a 2nd line of defense within our compliance program and supports the risk owners. The position...a subject matter expert with a focus on broker-dealer trading operations, surveillance, and supervision as well as for… 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
- 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
- BMO Financial Group (Newport Beach, CA)
- …clients around the world. #bmocapitalmarkets We are seeking a results-driven **Global Markets Advisor ("GMA")** with a proven track record in sales to join our ... onboarding, credit and risk colleagues to ensure seamless client experience and compliance with all internal and external policies and procedures + Work closely… 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
- JPMorgan Chase (Newark, DE)
- …+ Assist in identifying and mitigating business risks. + Support audit, regulatory , and compliance deliverables. + Support ongoing procedure and process ... of the trade lifecycle. + Resolving phone and e-mail inquiries regarding trading , data quality issues, application usage, and other miscellaneous items. +… more