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Regulatory/Compliance Risk Jobs In United States

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Search results: 1 - 10 of 242

Regulatory Reporting Controller II (18029833)

100%

Bank of America. Charlotte

Job Description: Assist in preparation of daily 15c3-3 calculation and reconciliation of monthly FOCUS 15c3-3 to daily 15c3-3. Support internal and external audits and periodic testing of 17a5 controls. Assist with FINRA and other regulatory examinations and queries. Ability to work in a team environment and multitask. • Daily 15c3-3...

Employment Type Full Time
Region/Country Americas, United States

Senior Regulatory Reporting Controller (18029839)

100%

Bank of America. Charlotte

Job Description: Assist in preparation and review of all components of daily 15c3-3 calculation and reconciliation of monthly FOCUS 15c3-3 to daily 15c3-3. Work with internal and external auditors in annual and periodic testing of 17a5 controls. Assist with FINRA and other regulatory examinations and queries. Provide support to team...

Employment Type Full Time
Region/Country Americas, United States

Senior Manager, Investment Compliance Policy (32618)

100%

T. Rowe Price. Baltimore

Our mission as a leading investment management firm is to help our clients achieve their long-termfinancial goals. We believe our associates are the key to this mission and we arealways looking fortalented individuals who share our commitment to our clients success. If youre looking for challenging work experiences and the...

Sub Sector Traditional Asset Manager
Employment Type Full Time
Region/Country Americas, United States

CIB Risk - Americas Risk Governance – Analyst (180020666)

100%

JPMorgan Chase. New York

JPMorgan Chase is a leading global financial services firm with assets of $2.5 trillion and operations in more than 60 countries. The firm is a leader in investment banking, commercial banking, financial services for small business and consumers, financial transaction processing, asset management and private equity. Americas Legal Entity Risk...

Sector Asset Management
Employment Type Full Time
Region/Country Americas, United States

Compliance Technology Senior Consultant (2445305)

100%

AON. New York

Job Description Aon is looking for a Compliance Technology Senior Consultant. The Compliance Technology Senior Consultant role is critical for the success of Stroz Friedberg's Compliance Technology practice as we seek to expand this practice in response to growing client needs. This consultant should be able to contribute expertise and...

Sector Asset Management
Sub Sector Generalist Consulting
Region/Country Americas, United States

Alternatives Compliance Analyst (9475)

100%

AllianceBernstein. Nashville

The Alternatives Compliance Analyst position is a junior to mid-level position at AllianceBernstein. The Analyst's primary responsibility is to conduct surveillance of various compliance policies and procedures, which have been adopted pursuant to Rule 206(4)-7 of the Investment Advisors Act of 1940 (the "Advisors Act), Rule 38a-1 of the Investment...

Region/Country Americas, United States

Quantitative Services Professional (Client Valuations) - Chicago, IL (18032843)

100%

Bank of America. Chicago

Job Description: The Client Valuations Group (CVG) is a global team responsible for the production and distribution of valuations for clients generally across Global Markets pursuant to the Global Client Valuation Policy. CVG is part of Quantitative Services (QS) in the Global Markets Shared Operations (GMSO) organization, and offers exposure...

Employment Type Full Time
Region/Country Americas, United States

Business Line Compliance Officer - Investment Operations (34467)

100%

T. Rowe Price. Owings Mills

Our mission as a leading investment management firm is to help our clients achieve their long-termfinancial goals. We believe our associates are the key to this mission and we arealways looking fortalented individuals who share our commitment to our clients success. If youre looking for challenging work experiences and the...

Sector Asset Management
Sub Sector Generalist Consulting
Employment Type Full Time
Region/Country Americas, United States

Senior Auditor II – Regulatory Reporting (037188)

100%

Bank of the West. San Ramon

What sets Bank of the West apart from other banks is our team members-they embody the optimistic spirit of the West. There is a spirit here that drives us to do more. Our team of more than 10,000 employees is vital to the success of our Bank. They reflect our...

Sector Asset Management
Region/Country Americas, United States

Compliance Specialist (omab7fwy)

100%

Natixis. Boston

Description Summary The Compliance Specialist is responsible for the compliance review of sales and marketing communications. The Compliance Specialist will ensure that communications satisfy regulatory requirements, lead department projects, and provide compliance guidance to business partners relating to advertising rules and regulations. Major Responsibilities Review mutual fund materials to ensure...

Employment Type Full Time
Region/Country Americas, United States
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