- MUFG (Irving, TX)
- …provide more details. **Summary:** As a member of the Global Sanctions Compliance Department (GSCD), this individual will support in the oversight and continuous ... enhancement of the Bank's Global Sanctions Compliance Program. The GSCD Program is responsible for advising...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)
- …team will provide more details. As a member of the Global Sanctions Compliance Department (GSCD), this individual will lead in the continuous enhancement and ... oversight of the Bank's Global Sanctions Compliance program, including strategic execution of day-to-day activities relating...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)
- …Assurance (QA) team organizationally resides within the Global Financial Crimes Compliance (FCC) Program Management. GFCD works to ensure that our organization ... a team that contributes to the operation of the financial crime compliance framework. Thus, your responsibilities and accountabilities include, but are not limited… more
- JPMorgan Chase (Sugar Land, TX)
- …degree, GED, or foreign equivalent + Beginning October 1, 2018, the Securities Industry Essential (SIE) exam, FINRA Series 6/7, state registration (including 63 ... within established risk parameters/tolerances and meets internal/external risk and compliance obligations, including completion of required training + Excellent… more
- JPMorgan Chase (Grand Prairie, TX)
- …+ Beginning Oct. 1, 2018, if you are not currently registered, the Securities Industry Essential (SIE) exam, FINRA Series 6/7, state registration (including 63 or ... completed within 180 days of starting the role + Compliance with Dodd Frank/Truth in Lending Act* + High...continued employment in this position would be contingent upon compliance with Truth in Lending Act/Dodd Frank Loan Originator… more
- JPMorgan Chase (Houston, TX)
- …within established risk parameters/tolerances and meet internal/external risk and compliance obligations, including completion of required training. + High school ... degree, GED, or foreign equivalent. + The Securities Industry Essential (SIE) exam, FINRA Series 6, state...continued employment in this position would be contingent upon compliance with Truth in Lending Act/Dodd Frank Loan Originator… 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
- MUFG (Irving, TX)
- …+ Familiarity implementing, testing or evaluating performance of financial crime and compliance systems. + Sound knowledge on AML data including KYC, customer, ... 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
- 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
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