- Wells Fargo (Carmel, NY)
- …an application for a dwelling secured transaction. As such, this position requires compliance with the SAFE Mortgage Licensing Act of 2008 and all related ... in the sales development process + Knowledge and understanding of retail compliance controls, risk management, and loss prevention + Ability to follow policies,… more
- Wells Fargo (New York, NY)
- …while leveraging a solid understanding of relevant policies, procedures, and compliance requirements + Collaborate and consult with peers, colleagues, and mid-level ... clients, by cultivating relationships through existing networks + Partner with Commercial Lending Product Management to provide feedback on client and market needs… more
- Wells Fargo (New York, NY)
- …clients, we provide corporate and transactional banking; commercial real estate lending and servicing; investment banking; equity; and fixed income solutions ... accurate and timely and accurate monitoring, accurate risk ratings, covenant compliance , watchlist updates, recognition of potential problems loans of leveraged… more
- Wells Fargo (New York, NY)
- …clients, we provide corporate and transactional banking; commercial real estate lending and servicing; investment banking; equity; and fixed income solutions ... of a background check. Internal transfers are subject to compliance with 17 CFR 240.17f-2 of the Securities Exchange...and are required to report certain incidents. + Specific compliance policies may apply regarding outside activities or personal… more
- HSBC (Buffalo, NY)
- …in collecting and analyzing a broad range of credit, collateral and compliance documents related to the mortgage process, ensuring loan quality and integrity. ... to balance the service-oriented and analytical aspects of mortgage lending functions with the evolving demands of a progressive...+ Adhere to all federal, state and HSBC regulatory compliance polices while maintaining HSBC Code of Ethics. Ensure… more
- Wells Fargo (New York, NY)
- …forward-looking product organization with end-to-end payments, data, liquidity and associated lending solutions that enable our clients to achieve their business ... or Charlotte, NC office approximately 3 days a week + Specific compliance policies may apply regarding outside activities and/or personal investing; affected… more
- Wells Fargo (New York, NY)
- …by cultivating relationships through existing networks + Partner with Commercial Lending Product Management to provide vision, leadership, and expertise on client ... Sponsorship + This position offers a hybrid work schedule + Specific compliance policies may apply regarding outside activities or personal investing; affected… more
- Neuberger Berman (New York, NY)
- …NBSF offers bespoke financing solutions that go beyond the traditional direct lending model, utilizing a diverse array of methods such as asset-backed credit ... and manage the SEC reporting and filings to ensure compliance , and will be involved in hiring, managing, and...board materials, marketing presentations, and other reporting + Monitoring compliance with the SEC and IRS regulatory tests in… more
- MUFG (New York, NY)
- …of Japanese Corporate loan portfolio clients. As focusing on subsidiary lending , designated customers will be complex relationships focusing on non-investment grade ... to various related parties throughout the bank. + Oversee covenants compliance , facility due date, condition/instruction/report required, and call memos. + Perform… more
- JPMorgan Chase (New York, NY)
- …maintaining up-to-date knowledge of market trends, trading regulations, and ensuring compliance with company policies and industry standards. + Prepare and analyze ... needs. + Serve as primary Middle Office contact supporting all structured lending transactions entered into by the Portfolio Financing desk + Coordinate… more