- Wells Fargo (Texarkana, TX)
- …in a dynamic and complex environment **Job Expectations:** + Specific compliance policies may apply regarding outside activities and/or personal investing; affected ... check. Internal transfers are subject to comply with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states… more
- MUFG (Irving, TX)
- …team will provide more details. As a member of the Global Sanctions Compliance Department (GSCD), this contributor will be a sanctions regulations subject matter ... (as applicable) to comply. + **Interacting with regional sanctions compliance teams** on both routine and strategic matters to...a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2)… more
- MUFG (Irving, TX)
- …Global Financial Crimes Division ("GFCD") is seeking a Vice President for a compliance role with experience in AML Program Oversight. The individual should possess ... to the Bank. The role will actively liaise with compliance and business groups globally, to collaborate with and...a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2)… more
- Santander US (Dallas, TX)
- …process end to end, in partnership with global teams for compliance with global/local regulations and jurisdictions, and policy. You will function ... + Escalation contact to ensure all information needed for compliance with regulations is available and accurate, in ...with in depth expertise in various lines of business, securities , escrow, derivatives, loans, EMIR, Dodd Frank, MiFID, 5-7… more
- MUFG (Irving, TX)
- …Quality Assurance (QA) team organizationally resides within the Global Financial Crimes Compliance (FCC) Program Management department. GFCD works to ensure that our ... Reviewer, you will contribute to the operation of the financial crime compliance framework. Thus, your responsibilities and accountabilities include, but are not… more
- Wells Fargo (Dallas, TX)
- …accepted. + For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite may also be required + ... strong customer relationships balanced with a strong risk mitigating and compliance -driven culture which firmly establishes those disciplines as critical to the… more
- MUFG (Irving, TX)
- …+ Familiarity implementing, testing or evaluating performance of financial crime and compliance systems. + Proven track record of strong quantitative testing and ... logic matching, decision trees, etc. + Familiarity of current compliance rules and regulations of the FRB, SEC, OCC,...a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2)… more
- Wells Fargo (Addison, TX)
- …providing insights, regarding a wide array of business initiatives + Utilize structured securities and provide expertise on theory and mathematics behind the data + ... strong customer relationships balanced with a strong risk mitigating and compliance -driven culture which firmly establishes those disciplines as critical to the… more
- Citigroup (Houston, TX)
- …new products, structure transactions, trading book purchases, adhoc projects and regulatory compliance + Ensure correct processing of trades and bank risk ... compliance in daily activities and work on audit queries...and the Plan of Supervision for Global Markets and Securities Services + Adhere to all policies and procedures… more
- Cardinal Health (Austin, TX)
- …image. This function provides legal counsel related to commercial, corporate securities , intellectual property, labor and employment, and regulatory law, among other ... contracts are compliant. This job also reviews external communications to confirm legal compliance and liaises with a variety of Legal and other internal teams to… more