• Global Financial Crimes - AML Advisory, AVP

    MUFG (Irving, TX)
    …team will provide more details. Responsible for providing AML, BSA, USA PATRIOT Act compliance support to an assigned function. This role will serve as a Subject ... Matter Expert (SME) on all matters for AML/BSA compliance for MUFG. **Responsibilities** Provides full advisory services to First and Second Lines of Defense on all… more
    MUFG (05/24/25)
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  • Wealth Regional Managing Director

    Truist (Houston, TX)
    …appropriate legal, operating and regulatory controls to manage risk and compliance . Participate as needed with Truist regulators and individual subsidiary regulators ... (such as the Securities & Exchange Commission) as a leadership representative for...Ensure that the unit works within the existing audit, compliance and regulatory framework in order to ensure a… more
    Truist (05/13/25)
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  • Registered Citigold Private Client Service…

    Citigroup (San Antonio, TX)
    …including consumer banking and credit, corporate and investment banking, securities brokerage, and wealth management. Citi Personal Wealth Management (CPWM) ... banking and /or investment operations - including placing unsolicited securities trades (Series 7 & 63 required). + Ensures...and firm policy. + Ensures that KYC/AML and other compliance norms are strictly adhered to. + Builds a… more
    Citigroup (05/21/25)
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  • West Natural Gas Basis Trader

    Citigroup (Houston, TX)
    …+ Coordinate with Sales, Research, CMand and other organizations across Markets and Securities Services and the broader business + Trade a book and deliver on ... in close partnership with control functions such as Legal, Compliance , Market and Credit Risk, Audit, Finance in order...and the Plan of Supervision for Global Markets and Securities Services + Adhere to all policies and procedures… more
    Citigroup (05/03/25)
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  • Assistant Vice President, Product Developer - C12

    Citigroup (Irving, TX)
    …services, including consumer banking and credit, corporate and investment banking, securities brokerage, transaction services, and wealth management. As a bank with ... priorities, define business requirements and UAT strategy incorporating regulatory and compliance requirements. + Perform data analysis, document as-is and to-be… more
    Citigroup (04/04/25)
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  • Market Director

    Thrivent Financial (Austin, TX)
    …financial advisors are assigned to this position, this position will require securities registrations, state insurance licenses and appointments in all states where ... of authority or attained within 90 days. + State securities registered and insurance licensed and appointed in all...that are assigned. + Satisfactory background check and clean compliance record. + Flexibility to travel within the area… more
    Thrivent Financial (05/06/25)
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  • Financial Advisor

    Navy Federal Credit Union (El Paso, TX)
    …offerings + Develop a beginning pipeline of internal/external referral sources in compliance with Navy Federal policies and procedures and guidelines + Establish, ... is gained. + Execute customer and broker purchase /sales orders of securities for current/new clients + Focus consulting for products and services supported… more
    Navy Federal Credit Union (03/26/25)
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  • Global Financial Crimes, Issues Management…

    MUFG (Irving, TX)
    …on driving the administration and execution of the GFCD and Americas Compliance Issues Management Program, by leading the development of governance and procedural ... report directly to the Director of GFCD and Americas Compliance Issues Management and manage employees on the Program...a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2)… more
    MUFG (03/12/25)
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  • Global Financial Crimes, Issues Management…

    MUFG (Irving, TX)
    …VP and the team in leading the coordination and delivery of financial crimes compliance issues program in accordance with the Global Financial Crimes Compliance ... addition to GFCD, the position will also support Americas Compliance and Core Compliance IM data analysis...a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2)… more
    MUFG (05/24/25)
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  • Global Sanctions Program Oversight Role - Vice…

    MUFG (Irving, TX)
    …the daily operations and execution of a global financial institution's sanctions compliance program. As a member of the Global Financial Crimes Division (GFCD) ... Sanctions Compliance Department, this individual will be the SME supporting...a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2)… more
    MUFG (05/02/25)
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