- 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
- Truist (New York, NY)
- …Maintain appropriate legal, operating and regulatory controls to manage risk and compliance . Works within the existing audit, compliance and regulatory framework ... + FINRA: Maintains proper licenses including Series 7, Series 66, the Securities Industry Essentials (SIE) Exam as applicable Life, Health, and Variable insurance… more
- MUFG (New York, NY)
- …to various related parties throughout the bank. + Oversee covenants compliance , facility due date, condition/instruction/report required, and call memos. + Perform ... + While closely consulting with manager, communicate with credit division /administration with regard to rating rationale, facility structuring/exposures and ensure… more
- MUFG (New York, NY)
- …between Transaction Banking of the Americas and Head Office Transaction Banking Division , Tokyo for specific matters such as product roadmap, project plans, ... operating model, system requirements, legal and compliance reviews. + Works with front-line and customer advocacy...Works with sales partners in the Japanese Corporate Banking Division to ensure alignment on product offerings, new initiatives,… more
- City of New York (New York, NY)
- …City agencies to help the City and its related issuers develop post-issuance compliance policies and procedures in accordance with securities laws. - Tracking, ... including education, transportation, economic development, and environmental protection. The Division also performs legal work related to the corporate governance… more
- MUFG (New York, NY)
- …Head of Financial Crimes and is a member of the Global Financial Crimes Compliance Division ("GFCD") Leadership Team. The successful candidate will need to ... rules and regulations in a manner that ensures full compliance . The Head of FCOA reports directly to the...a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2)… more
- MUFG (New York, NY)
- …assets, loan sales, or potentially providing ongoing financing. Special Assets Division 's ("SAD") primary focus is to minimize losses and maximize recoveries. ... Specialists. + Regularly prepare and submit reports to immediate supervisor, Division Manager, and others within Credit Risk Administration about actual/forecasted… more
- MUFG (New York, NY)
- …control matters, including information security, audit, operation, regulatory, and compliance -related tasks. The role involves creating materials and communicating ... in the US, collaborate with board secretaries and Head Office Corporate Planning Division and secretaries of Head Office Executives. + Performs other duties as… more
- MUFG (New York, NY)
- …and regularly scheduled reviews of assigned loan portfolio, including covenants compliance . + Analyze credit risk of the designated portfolio, determine accurate ... contain appropriate representations. + Review reporting to verify completeness and compliance + Responsible for in-depth knowledge of FIG industries and all… more
- MUFG (New York, NY)
- …assigned portfolio utilizing internal and external sources. + Oversee covenants compliance database and facility closing due diligence, including documentation. + ... and Deal Advocacy:** + Support the communication with the credit approval division including final hold level strategies to ensure alignment of risk strategy… more