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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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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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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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3-4 years of compliance operations experience, preferably both in traditional financial institutional and FinTech environments. Knowledge of legal and regulatory requirements that apply to financial institutions, as well as the research skills necessary to understand new or evolving regulation.
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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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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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Responsible for overseeing tax planning and compliance functions for ultra-high net worth individuals and their families, with a particular emphasis on clients in the financial services sector, such as hedge funds, private equity, and other investment-related individuals.
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Experience working with and/or knowledge of financial services compliance. 5+ years of experience in a startup, FinTech, financial services company, or law firm. Parafin is a technology company that builds infrastructure which enables small businesses to get easy access to financial services via platforms they sell on.
$185,000 - $215,000 a yearFull-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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3+ years of work experience in the financial services industry within the investment operations space or preferably from a large investment bank. The Aladdin platform combines risk analytics with portfolio management, trading, compliance, and investment operations tools on a single platform to power informed decision-making, effective risk management, efficient trading, and operational scale.
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Hope Kingma is a Director and Project Delivery Team Leader, based out of our Emeryville office, who is seeking a mid-level project manager to help her lead and develop a team of biologists and regulatory permitting specialists as we work together to support our clients with their environmental permitting and compliance needs.
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The Office of Ethics, Risk, and Compliance Services (OERCS) serves as an independent, objective resource to the Chancellor, the Compliance & Enterprise Risk Committee (CERC), and the campus community.
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First Citizens offers an array of general banking services including a network of more than 550 branches in 23 states and commercial banking expertise delivering best-in-class lending, leasing and other financial services coast to coast.
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Block, Inc. (NYSE: SQ) is a global technology company with a focus on financial services. Use Python ML stack, LLMs, Pytorch, Snowflake, Airflow based tools, data platform and cloud services (both GCP & AWS) to get the job done.
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CFF is the parent company to eleven brands including Cash 1, Check Into Cash, CheckSmart, Easy Money, InstaLoan, Rapid Cash, and Speedy Cash, TitleBucks, and TitleMax. With more than 1,700 retail storefronts and several online products available in 20+ states, CCF is steadfast in our commitment to help people across the country get access to the short-term financial services they need when they need it the most.
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Teamsters Local 2010 - Clerical and Allied Services Unit (CX) In addition to our PRIDE values, UCSF is committed to equity - both in how we deliver care as well as our workforce. The individual is primarily responsible for securing financial clearance for clinical laboratory patients and referring healthcare organizations.
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equity regulatory compliance net worth financial services barre jobs Company: Wells Fargo in Oakland, CA
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