- Citigroup (New York, NY)
- The Mortgage Lending Officer role is a developing professional role. This role identifies policy and applies specialty knowledge in monitoring and assessing ... services, including consumer banking and credit, corporate and investment banking, securities brokerage, and wealth management. Citi Bank Retail Mortgage provides… more
- SMBC (New York, NY)
- …SMBC Group offers a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has more than 130 ... in the Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets, Inc., SMBC MANUBANK, JRI America, Inc.,… more
- MUFG (New York, NY)
- …A member of our recruitment team will provide more details. Risk and control officer will be responsible for assisting with the duties of the BURM (Business Unit ... of issues and partner with stakeholders in opening issues (Audit/ Compliance /Management Identified)Completing Issue Closure TemplatesAcquiring the necessary management approvalsScheduling… more
- SUNY Westchester Community College (Valhalla, NY)
- …and operations; risk management; and security and safety services. As Chief Financial Officer and a member of the President's Cabinet, the incumbent is a ... state and federal grants, gifts, rents and royalties, investments, securities , and real estate; + Serves as the primary...or as assigned by the President; + Ensures regulatory compliance and provides timely delivery of a wide array… more
- SMBC (New York, NY)
- …SMBC Group offers a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has more than 130 ... in the Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets, Inc., SMBC MANUBANK, JRI America, Inc.,… more
- SMBC (New York, NY)
- …SMBC Group offers a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has more than 130 ... in the Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets, Inc., SMBC MANUBANK, JRI America, Inc.,… more
- MUFG (New York, NY)
- …Relationship Managers/Product Groups to enable more enriched discussions on risk/AML/Sanctions compliance issues, while managing the progress of KYCs from an end ... while fulfilling responsibilities related to Request for Information (RFIs) related to KYC/risk/ compliance issues identified as part of the KYC due diligence; +… more
- Citigroup (New York, NY)
- …firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying ... to work without direction, self-motivated + US: S7, S66 (or S63/S65) NOTE: Securities Industry Exam (SIE is a prerequisite to the S7) **Education:** +… more
- Raymond James Financial, Inc. (New York, NY)
- …essential risk context. . Reports risk-related data including risk exposure, compliance to risk policies, and effectiveness of current risk management strategies ... provide advice on such documentation negotiation from the credit perspective . Securities /Private Client and Asset Management products and an understanding of the… more
- SMBC (New York, NY)
- …of the broker dealer's compliance risk and is represented by the Chief Compliance Officer as either a member or observer of various committees such as ... portfolio of benefits to its employees. **Role Description** The Compliance group within SMBC Nikko Securities Inc....Description** The Compliance group within SMBC Nikko Securities Inc. serves as a regulatory advisory function to… more