- Santander US (Staten Island, NY)
- …sales and revenue goals as defined on a quarterly basis. + Maintains compliance with all applicable bank , broker/dealer, State and Federal regulations associated ... Maintains required professional training and license requirements, including knowledge of FINRA compliance , FDIC compliance , the Bank 's uninsured Products… more
- ASM Global (Long Beach, CA)
- …Reporting & Analysis + Payroll & Event Settlements + Audit Preparation & Compliance + Bank & Account Reconciliation + Process Improvement COMPENSATION ... Manager supports all accounting and financial operations for the facility, ensuring compliance with State and Federal regulations as well as ASM Global policies.… more
- Truist (Raleigh, NC)
- …by the BU for implementation across Truist (where applicable). + Advocate the Bank 's risk culture, compliance with enterprise risk initiatives and promote sound ... or revised risk program requirements to confirm they are consistent with the Bank 's risk appetite, regulator expectations and industry standard. + Identify areas of… more
- UMB Bank (Raleigh, NC)
- Risk Services partners with UMB management and its obligation to effectively manage compliance and related risks within the UMB family of corporations. This team ... provides timely, accurate, and seasoned judgment related to regulatory compliance risk, suggests strategies for mitigating risk, promotes a strong culture of … more
- Huntington National Bank (Columbus, OH)
- Description The Huntington Capital Markets Enterprise Compliance Risk Director Senior will play a critical role in the execution and implementation of the ... Compliance Program for Huntington's Investment Banking Broker Dealers and...will have knowledge of investment banking and capital markets compliance requirements including relevant FINRA, SEC, OCC and MSRB… more
- Regions Bank (Birmingham, AL)
- …careers section of the system. **Job Description:** At Regions, the Business Unit Compliance Manager leads a team of first line of defense risk management experts ... on business and/or product decisions. Associates at this level ensure that all compliance activities within their area of expertise follow the necessary rules and… more
- Regions Bank (Birmingham, AL)
- …section of the system. **Job Description:** At Regions, the BSA AML and OFAC Compliance Function Manager operates as a first, second, or third line of defense risk ... a specific line of business. **Primary Responsibilities** + Conducts compliance reviews to identify potential areas of risk related...areas of risk related to BSA, AML, and OFAC compliance and develops strategies to mitigate these risks +… more
- Fortrex (Atlanta, GA)
- …with regulatory requirements and accounting standards. . Treasury work including bank covenants, compliance certificates, hedging, authorizations, cash flow ... forecast, and wires. . Collaborate with cross-functional teams including Human Resources, Accounting, Operations, Sales, and Marketing to align financial planning with business goals including compensation planning and design. . Serve as a trusted advisor and… more
- BankOnBuffalo (Orchard Park, NY)
- …create efficiencies by demonstrating: + Accountability- accurately process transactions in compliance with bank policies and regulatory standards. Effectively ... to recommend solutions for individual client's needs. Universal Associates follow our bank philosophy: Positive Energy, Positive Outcomes. Below is a list of… more
- Banc of California (Durham, NC)
- …transactions within established guidelines. + Conducts regular staff meetings to ensure compliance with all Bank policies and procedures. + Resolves complex ... client issues and/or inquiries by exercising independent judgment while ensuring compliance with bank policies and procedures. + Achieve satisfactory audit… more