1 to 6 of 6
Sort by: Date | Relevance
Allspring Global Investments
- Boston, MA / Charlotte, NC / Menomonee Falls, WI
Manage the NFA/CFTC Compliance Program and related activities Assist in reviewing NFA/CFTC regulatory developments with Compliance and Legal partners to ensure impact reviews and assessments are conducted Complete international and domestic regulatory filings and reporting Work effectively with Compliance and business line subject matter experts to implement and maintain
Posted 2 days ago
Allspring Global Investments
- Boston, MA / Charlotte, NC / Menomonee Falls, WI / 1 more...
Support the centralized monitoring program by performing risk based testing and oversight reviews, electronic communication monitoring, and market abuse testing. Identify, escalate, address, and validate potential policy violations identified through monitoring activities. Partner with business and compliance colleagues to enhance and develop compliance controls and new c
Posted 8 days ago
Allspring Global Investments
- Boston, MA / Menomonee Falls, WI / Charlotte, NC
Develop strong relationships with key business and risk partners, while providing appropriate and timely responses to business line and other inquiries. Maintain an understanding of Allspring's operations and regulatory guidance/expectations Test, draft, and provide advice and guidance on 38a 1 and 206(4) 7 policies & procedures, as well as regulations Conduct third party
Posted 10 days ago
This is where you save and sustain lives At Baxter, we are deeply connected by our mission. No matter your role at Baxter, your work makes a positive impact on people around the world. You'll feel a sense of purpose throughout the organization, as we know our work improves outcomes for millions of patients. Baxter's products and therapies are found in almost every hospita
Posted 2 days ago
An Assistant City Attorney assigned to the City Attorney's Office, Litigation Section engages in 42 U.S.C. 1983 civil rights defense of City agencies, departments, and their employees that involve federal or state court proceedings. Essential Functions Litigation Handle written discovery and motion practice in federal court. Evaluate case value and make settlement recomme
Posted 8 days ago
Allspring Global Investments
- Boston, MA / Charlotte, NC / Menomonee Falls, WI / 1 more...
Support compliance's review and approval of advisor/broker dealer and international marketing materials and various other electronic communications to ensure compliance with firm and regulatory requirements. Experience with working with all levels of the organization to provide the business compliance risk expertise and consulting for projects and initiatives. Lead and ma
Posted 22 days ago
Email this Job to Yourself or a Friend
Indicates required fields