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Minimum of 12 years of experience in a compliance role within the financial services industry, with at least 5 years in a leadership position. The Chief Compliance Officer (“CCO”) will act as the primary expert and advisor on all NerdWallet compliance matters, managing external regulatory engagements, legal contracts, and third-party vendor compliance.
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The Regional Vice President will work in a client-focused, team-centered environment in unison with Managing Directors to service the needs of the firm’s high net worth clients. At least 5 years of successful sales experience in the financial services industry.
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As a member of the Data Engineering - Business ETL team, you own the data warehouse and data pipelines that are used for financial and regulatory reporting. Surfacing data to both internal and customer-facing applications for analytical, financial, and regulatory purposes.
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Familiarity with Artificial Intelligence/ Machine Learning, Robotics Process Automation and Blockchain and their impact on the regulatory environment. We also have a large team that implements for large organizations (through standard or custom integrations) transaction tax engines and tax reporting/compliance technologies, and we provide technical support for these technologies during and after implementation.
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HES America Ltd.(“HES”), an affiliate of HQCA, comprises of Axia Solar, a residential solar system installer and EnFin which is a financial services company that provides financing for residential solar customers.
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Take Compliance programs from 0 to 1: from researching the regulatory landscape, to scoping requirements and building out tools and processes with our Engineering, Risk, Operations, and Growth teams.
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5+ years of litigation and regulatory experience at a top-tier law firm and/or in-house legal team, preferably in a financial services or crypto industry; Experience working on financial services regulatory matters in the United States (FINRA, state securities regulators, SEC, CFTC.
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The Compliance and Risk Consultant, Principal will lead and oversee the implementation of all key components of the EP-IT Risk Management Program for PG&E’s Corporate Security Department (CSD.
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The right candidate will have relevant legal experience and an enthusiastic belief in the cryptocurrency/digital asset space, experience working for a top-tier law firm or in-house at a prestigious financial services, technology or cryptocurrency company, and possess excellent writing and analytical skills.
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Help navigate technical, legal, and regulatory compliance requirements as we launch and grow new business lines such as Apps/Activities IAP, Quests, and (potentially) virtual currencies. Deep domain expertise in the world of online payments, mobile app stores, payouts, taxes, and revenue accounting operations, as well as SOX compliance, audits, and other regulatory requirements.
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5+ years of experience across investor relations, equity research, analyst relations, in-house communications, hedge funds, asset management, equity capital markets, or investment banking (investor relations experience within financial services or crypto a plus.
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The Investment Program at Golden 1 Credit Union supports the local community with a complete menu of financial services. Employment is with Golden 1 Credit Union, however, in accordance with regulatory requirements, LPL Financial would hold your securities/insurance licenses.
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As a Budget, Grants & Contracts Director within CYFTAY, you will play a crucial role in ensuring effective financial management, grants/contracts financial compliance, reporting, and optimal utilization of these funds.
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All assets and systems are under regulation by Electric Reliability Council of Texas (ERCOT), North American Electric Reliability Corporation (NERC), Federal Energy Regulatory Commission (FERC), and Texas Reliability Entity (TRE) compliance standards.
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In the Dodd-Frank Act, Congress followed a long-established precedent in providing the Bureau with funding outside of the congressional appropriations process to ensure full independence as the Bureau supervises and regulates providers of consumer financial products and services and protects consumers.
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