- Truist (Dallas, TX)
- …and maintaining a strong culture of risk management and compliance , delivering our Purpose-Driven Wealth Experience, and driving advisor retention/recruiting ... close partnerships with the local Support leadership team, LOB Risk Organization, Compliance , HR and Operations to further the effectiveness and performance of the… more
- PNC (Houston, TX)
- …transactions. May assist with training/coaching of new hires. + Administers trade compliance program against all trade transactions and escalates as necessary in ... to mitigate bank risk. May work with international sales on regulatory compliance , legal matters and customer related documentation. + Consults with internal and… more
- PNC (Houston, TX)
- …risk management program and corresponding communication strategies. Reviews and challenges compliance with programs. + Ensures the risk management program is ... risk expertise while working with the businesses and other risk partners (eg, Compliance , Technology Risk, etc.) to proactively identify risk exposures across PNC. +… more
- MUFG (Irving, TX)
- …Bank's regulatory obligations as well as ensuring adherence to all Compliance , Anti-Money Laundering/Know Your Customer policies and procedures. Day-to-day focus is ... (RM's) and Portfolio Managers (PM's), Tax Operations and Regulatory Reporting teams, Compliance Division Officers, and other operations teams. Role has ownership of… more
- PNC (San Antonio, TX)
- …industry and market developments, deal flow and regulatory requirements. Enforces strict compliance with all policies and regulations. Enforces compliance with ... industry and market developments, deal flow and regulatory requirements. Enforces compliance with policies and regulations. Works with stakeholders to develop/modify… more
- MUFG (Irving, TX)
- …+ Familiarity implementing, testing or evaluating performance of financial crime and compliance systems. + Sound knowledge on AML data including KYC, customer, ... neural networks, fuzzy logic matching, decision trees, etc. + Familiarity of current compliance rules and regulations of the FRB, SEC, OCC, FATF, FinCEN, OFAC, and… more
- PNC (Houston, TX)
- …banker experiences. It is also responsible for securing alignment with Legal, Compliance and Risk stakeholders to ensure all features meet internal standards while ... throughout the origination journey. * Partner with governance stakeholders including Legal, Compliance , and Risk to gather and align on requirements to ensure… more
- MUFG (Irving, TX)
- …transaction risks based upon this analysis. _Additional duties as assigned Compliance and Regulatory Responsibilities:_ Assist assigned AML Department Manager to ... Under the direction of the assigned AML Department Manager, ensure compliance with federal information sharing requests and regulations, including Grand jury… more
- MUFG (Houston, TX)
- …and funding of discounting transactions. + Interact with RMs, credit, legal, compliance and other internal teams + Frequent interaction with middle and back ... office teams. + Ensure transactions adhere with the banks compliance , risk and regulatory frameworks. + Execute documentation and booking of transactions +… more
- USAA (Plano, TX)
- …to maximize effectiveness of member acquisition and relationship efforts. Maintains compliance with policies, procedures, and regulatory requirements We offer a ... In conjunction and coordination with Securities Counsel and Securities Compliance , provides research and documentation support for use in...an existing license and a business need, maintenance of FINRA Series 7, 66 (or 63 and 65), 24,… more