- MUFG (Irving, TX)
- …("GFCD") and Americas Compliance function of MUFG Bank, Ltd. will report to the Vice President , Americas Issues Management Regulatory & Audit Reporting ... our recruitment team will provide more details. This Associate Vice President (AVP) role in the Global...Compliance programs, Review Functions, Examination & Audit Management, and Regulatory Exam Management to set and manage… more
- JPMorgan Chase (The Woodlands, TX)
- …and stakeholder management abilities. + Knowledge of financial products, services, and regulatory requirements. + Experience in coaching Advisors or a sales team + ... management abilities. + Knowledge of financial products, services, and regulatory requirements. + Experience in coaching Advisors or a...have a valid and active Securities Industry Essential (SIE) exam + A valid and active Series 66 (63/65),… more
- MUFG (Irving, TX)
- …and knowledge of vendor risk assessments. Experience with audit and exam management is helpful. **Responsibilities:** + Development and maintenance of governance ... not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA). The major… more
- MUFG (Irving, TX)
- …Crimes Division (GFCD) of MUFG Bank Ltd. The role will report to the Vice President , Americas Compliance Issues Management Department. This role will be focused ... and Core Compliance, business functions, Internal Audit, Compliance Testing, and Exam & Audit Management. + Develop subject matter expertise regarding Issues… more