- MUFG (New York, NY)
- …matured/maturing loans/credit lines and coordinate appropriate renewal. + Ensure compliance with external regulatory/internal policy and procedural requirements. The ... is not subject to a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2) or 8a(3) of the Commodity… more
- MUFG (New York, NY)
- …and obtain the most favorable commercial terms for the bank. Ensure compliance with Basel rules governing regulatory capital relief. + As appropriate, work ... is not subject to a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2) or 8a(3) of the Commodity… more
- MUFG (New York, NY)
- …Intraday monitoring, collateral management, cash flow forecasting, stress testing, and compliance with ALM guidelines. **Job Requirements** + 5+ years of experience ... is not subject to a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2) or 8a(3) of the Commodity… more
- Guardian Life (New York, NY)
- …clients' requests. + Collaborate with various internal departments including Compliance , licensing, operations, internal clearing firm, and 3rd Party ... daily. **You have** + 3 or more years of extensive industry experience + Securities license preferred (Series 7 or 6) + Knowledge of retail client onboarding/new… more
- MUFG (New York, NY)
- …to identify deterioration or negative management control trends and review compliance with policies, guidelines, and regulations. + Prepare periodic Risk Profile ... is not subject to a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2) or 8a(3) of the Commodity… more
- City of New York (New York, NY)
- …long-term investigations into criminal activity, including those activities involving securities fraud, terror financing, money laundering and other criminal ... to financial crimes investigation and prosecution, banking, finance, or AML/sanctions compliance , or the regulatory supervision and enforcement of each. - Strong… 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 ... deal with sophisticated clients. + S7, S63 (or S66) and S3; NOTE: Securities Industry Exam (SIE is a prerequisite to the S7) **Education:** + Bachelor's/University… more
- JPMorgan Chase (New York, NY)
- …Analytics agenda globally across Markets Trading, Sales & Research, Payments, Securities Services, and Global Banking-driving the integration of advanced analytics ... solutions are delivered end-to-end, while ensuring responsible use of AI in compliance with internal policies, laws and regulations, with regular progress updates… more
- MUFG (New York, NY)
- …and approval + Oversee and manage internal processes required for compliance and execution, including KYC, profitability analysis, committee approvals, legal due ... is not subject to a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2) or 8a(3) of the Commodity… more
- JPMorgan Chase (New York, NY)
- …Analytics agenda globally across Markets Trading, Sales & Research, Payments, Securities Services, and Global Banking-promoting the integration of advanced analytics ... solutions are delivered end-to-end, while ensuring responsible use of AI in compliance with internal policies, laws, and regulations, with regular progress updates… more