- MUFG (Jersey City, NJ)
- …actions are appropriate, effective and timely and recommend corrective actions to Division Risk Manager. - Assist in coordinating requests and responses during ... functions including Basel III, BSA AML, LCR, and Volcker compliance requirements is a plus - Bachelor's degree The...a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2)… more
- SMBC (Jersey City, NJ)
- …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 (Jersey City, NJ)
- …a competitive portfolio of benefits to its employees. **Role Description** SMBC's Compliance Department Americas Division ("CPAD") is seeking a Vice President ... a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has...of Financial Crime Compliance ("FCC") Testing. The Vice President will be responsible… more
- SMBC (Jersey City, NJ)
- … Compliance functions. This is a junior to mid-level role in the Compliance Department Americas Division (CPAD) Data Governance team. This individual is ... SMBC Group offers a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has more than 130… more
- SMBC (Jersey City, NJ)
- …drives Compliance processing. This is a mid-level role in the Compliance Department Americas Division (CPAD) Data Governance team. This individual ... a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has...is a critical asset. As a data champion, the Compliance Data Governance Operations VP, is focused on measuring… more
- SMBC (Jersey City, NJ)
- …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
- City National Bank (Jersey City, NJ)
- …and reporting. * Report to a supervisor with the Wealth Management Broker/Dealer Compliance division *The Qualifications* * Minimum 4 years compliance ... You will not be employed by City National Bank. *The Opportunity* The Compliance Analyst will review a variety of broker/dealer employee compliance requests… more
- Bank of America (Jersey City, NJ)
- …liquidity and interest rate risks, including price risk in the CFO managed securities portfolio. As the Chief Risk Officer (CRO) function covering the Chief ... times of market and idiosyncratic stress. **EFR Team / Division : Interest Rate Risk and CFO Price Risk** The...the management of Interest Rate Risk through the ALM securities portfolio, and any Price Risk created through hedging… more
- S&P Global (Princeton, NJ)
- …to track model performance, data quality, and infrastructure + Security and Compliance : Implement security measures and compliance standards to protect sensitive ... businesses, governments, and institutions. S&P Global Ratings is a division of S&P Global (NYSE: SPGI). S&P Global is...innovation and power global markets. S&P Global has a Securities Disclosure and Trading Policy ("the Policy") that seeks… more
- S&P Global (Princeton, NJ)
- …technical milestones align with business requirements. + Implement security measures and compliance standards of the platform and APIs to ensure adherence to ... businesses, governments, and institutions. S&P Global Ratings is a division of S&P Global (NYSE: SPGI). S&P Global is...innovation and power global markets. S&P Global has a Securities Disclosure and Trading Policy ("the Policy") that seeks… more