- US Bank (Charlotte, NC)
- …financial risks across the organization. Reporting directly to the Chief Risk Officer , this role provides strategic and operational leadership for market risk, ... financial risk disciplines. + Lead regulatory interactions and ensure compliance with financial risk-related requirements. + Drive strategic initiatives, integrate… more
- SMBC (New York, NY)
- …Description** The Credit Review Department (CRVD) is seeking a highly motivated Credit Review Officer to join its team. CRVD operates as a **Third Line of Defense** ... reviews of credit exposures, including underwriting, risk grading, and policy compliance . + Lead credit reviews or continuous monitoring for specific business… more
- PNC (Pittsburgh, PA)
- …an opportunity to contribute to the company's success. As a Senior Mortgage Loan Officer within PNC's Mortgage organization. This is a remote position. Work may be ... solutions and refers products and services. Reviews documentation to ensure compliance . Manages customer pipeline for efficiency. + Collaborates with internal and… more
- Citigroup (New York, NY)
- The Relationship Officer is a developing professional role. Deals with most problems independently and has some latitude to solve complex problems. Integrates ... firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying… more
- SMBC (New York, NY)
- …of benefits to its employees. **Role Description** The Director, Sr. Regulatory Officer works with the Regulatory Relations team to implement and execute SMBC's ... to management and relevant business units on regulatory expectations. + Oversee compliance and alignment of team member activities with all strategic directives. +… more
- Citigroup (Los Angeles, CA)
- The Investment Relationship Officer is a developing professional role. Deals with most problems independently and has some latitude to solve complex problems. ... and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to...both internal and external + Ability to multi-task + FINRA SIE, Series 7, Series 66 required (or obtained… more
- US Bank (Minneapolis, MN)
- …and retention of existing accounts. Administers accounts in a manner which ensures compliance with the governing documents, state statutes and US Bank policies and ... procedures. Responsible for meeting all corporate and regulatory compliance standards. **Basic Qualifications** + Bachelor's degree, or equivalent work experience +… more
- SMBC (New York, NY)
- …RCSAs), as required. + Ensures the business unit is operating in compliance with applicable laws, rules, and regulations, provides oversight of processes designed ... may not be permitted for certain roles, including, for example, certain FINRA -registered roles for which in-office attendance for the entire workweek is required.… more
- SMBC (New York, NY)
- …Advises and records all Wall Crossings. + Liaises with EMEA and Tokyo Compliance to ensure global consistency where necessary and/or desirable. + Performs local ... may not be permitted for certain roles, including, for example, certain FINRA -registered roles for which in-office attendance for the entire workweek is required.… more
- SMBC (New York, NY)
- …to front office to ensure consistent and complete credit applications and compliance with internal policies and procedures + Ensure US Regulatory requirements are ... may not be permitted for certain roles, including, for example, certain FINRA -registered roles for which in-office attendance for the entire workweek is required.… more
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