- MUFG (Irving, TX)
- …transaction monitoring and sanctions screening applications. + **Ensure strict compliance ** with technical best practices, standards, and policies, maintaining the ... **Sanctions Screening:** Skilled in conducting sanctions screening to ensure compliance with regulatory requirements and prevent transactions involving sanctioned… more
- Citigroup (Irving, TX)
- …services, including consumer banking and credit, corporate and investment banking, securities brokerage, transaction services, and wealth management.** **As a bank ... optimizing management of systems supporting global functions such as Compliance , Controls, Internal Audit and Risk, and introducing innovative technologies… more
- MUFG (Irving, TX)
- …provide more details. Within the Global Financial Crimes Division (GFCD), Global AML Compliance Department, s/he will report to the Global Head of AML Advisory. As ... **Education** + Typically requires 8-10 years of financial industry and compliance experience, preferably within a global organization, preferably inclusive of 2… more
- JPMorgan Chase (Plano, TX)
- Bring your expertise to JPMorganChase. As part of Risk Management and Compliance , you are at the center of keeping JPMorgan Chase strong and resilient. You help the ... impact our company, customers and communities. Our culture in Risk Management and Compliance is all about thinking outside the box, challenging the status quo and… more
- Citigroup (San Antonio, TX)
- …related to banking and /or investment operations - including placing unsolicited securities trades (Series 7 & 63 required). + Ensures customer claims and ... and firm policy. + Ensures that KYC/AML and other compliance norms are strictly adhered to. + Builds a...and safeguarding Citigroup, its clients, and assets, by driving compliance with applicable laws, rules, and regulations, adhering to… more
- Citigroup (Irving, TX)
- …services, including consumer banking and credit, corporate and investment banking, securities brokerage, transaction services, and wealth management. As a bank with ... firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying… 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
- Raymond James Financial, Inc. (Dallas, TX)
- …new client development, sales activities, investment management, customer service and compliance with personal and professional growth and development. The Trainee ... or services. + Firm's working structure, policies, mission, strategies, and compliance guidelines. **Skill in** + Operating client relationship manager system and… more
- MUFG (Irving, TX)
- …3+ years of experience in Financial Services, preferably in Financial Crimes Compliance , Financial Crimes Operations + 3+ years of experience drafting, writing, ... with MUFG management and stakeholders + Strong interest in financial crimes compliance , including economic sanctions + Ability to interpret regulations and apply… more
- Truist (Houston, TX)
- …Maintain appropriate legal, operating and regulatory controls to manage risk and compliance . Works within the existing audit, compliance and regulatory framework ... * FINRA: Maintains proper licenses including Series 7, Series 66, the Securities Industry Essentials (SIE) Exam as applicable Life, Health, and Variable insurance… more