- Citizens (Johnston, RI)
- …such as GDPR and CCPA, Basel's Principles for Operational Resilience, and applicable SEC / FINRA regulations, all within the context of responsible AI governance. ... A solid understanding of various risk types (eg, operational, financial, compliance , reputational) and risk management methodologies, including COSO and OCC… more
- Deloitte (Philadelphia, PA)
- …, regulatory structure and organizations including the FRB, the CFPB, the OCC, the CFTC, FINRA , and the SEC The wage range for this role takes into account ... and recommendations and manage day-to-day stakeholder relationships + Demonstrate appropriate compliance and control of capital and liquidity risk + Implement… more
- CIBC (Chicago, IL)
- …experience in trade surveillance and familiarity with federal securities laws and SEC / FINRA regulations. + **You have a Bachelor's degree/diploma** in Finance, ... will include analyzing financial transactions, identifying suspicious activities, and ensuring compliance with AML regulations. You'll work closely with the AML team… more
- MUFG (Irving, TX)
- …neural networks, fuzzy logic matching, decision trees, etc. + Familiarity of current compliance rules and regulations of the FRB, SEC , OCC, FATF, FinCEN, ... + Familiarity implementing, testing or evaluating performance of financial crime and compliance systems. + Proven track record of strong quantitative testing and… more
- City National Bank (Los Angeles, CA)
- …relating to AML and Financial Crimes, including those promulgated by FinCEN, the OCC, FINRA , and the SEC . Significant expertise in assigned area of focus is ... legal advice to all three lines of defense (front line, Risk/ Compliance , Audit), broker-dealer businesses, and other US-based businesses regarding all aspects… more
- SMBC (White Plains, NY)
- …ideal candidate will bring experience in AI governance, data management, regulatory compliance , and program delivery, with a proven ability to lead high-performing ... + Serve as a senior liaison between business, technology, compliance , and risk teams to ensure alignment on project... with regulatory frameworks such as BCBS 239, GDPR, OCC/ SEC expectations, and internal audit standards + Conduct governance… more
- Marex (Houston, TX)
- …stakeholders. + Ensuring compliance with the company's regulatory requirements under the SEC , FINRA , NFA, CFTC and other applicable exchanges. + Adhere to ... and ensure that trading activities align with legal and compliance standards. + Stay informed about industry dynamics, emerging...responsibility. + To report any breaches of policy to Compliance and/or your supervisor as required. + To escalate… more
- Marex (Chicago, IL)
- …required. + Ensuring compliance with the company's regulatory requirements under the SEC , FINRA , NFA, CFTC and other applicable exchanges. + Adhere to the ... responsibility. + To report any breaches of policy to Compliance and/ or your supervisor as required. + To...a regulated environment and knowledge of the risk and compliance requirements associated with this. + Experience in operating… more
- MUFG (Irving, TX)
- …neural networks, fuzzy logic matching, decision trees, etc. + Familiarity of current compliance rules and regulations of the FRB, SEC , OCC, FATF, FinCEN, ... + Familiarity implementing, testing or evaluating performance of financial crime and compliance systems. + Sound knowledge on AML data including KYC, customer,… more
- Marex (Chicago, IL)
- …efforts. + Ensuring compliance with the company's regulatory requirements under the SEC , FINRA , NFA, CFTC and other applicable exchanges. + Adhere to the ... responsibility + To report any breaches of policy to Compliance and/ or your supervisor as required + To...a regulated environment and knowledge of the risk and compliance requirements associated with this Salary Range: $100,000 to… more