- CIBC (New York, NY)
- …incidents of non- compliance to the relevant Global Markets business head, senior Compliance officer and, if appropriate, head of US Global Markets for ... do occur. Regulatory Supervision is a business role (not Compliance ) and is delegated the responsibility to supervise on...Procedures (WSPs) to comply with applicable trading regulations (SEC, FINRA , CFTC, NFA and others) + WSPs must clearly… more
- TD Bank (New York, NY)
- …Chief Data Officer (CDO), Data and Delivery Initiatives (DDI) team, Compliance Technology, First-Line Risk and Control, and Front Office Technology to deliver a ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $150,000 - $250,000 USD TD is...FINRA , FCA, CIRO, etc.) and aligns with internal compliance policies. + Technology & Automation: Collaborate with Technology… more
- MUFG (New York, NY)
- …details. Reporting into the Managing Director, Regional Head of Americas AML Program Officer (APO), the role supports the BAU activities of the Financial Crimes ... of local AML procedures and controls that comply with the Bank's AML compliance requirements, including those set forth in this US Addendum, and reviewing these… more
- MUFG (Tempe, AZ)
- …checking all daily back office operations of the Supply Chain Finance(SCF) **Unit The Officer is expected to:** + Ensure prompt review and monitoring of workflows of ... section's output reports, records and files. Ensure all standard operational and compliance procedures are updated and enforced. Provide timely support to new… more
- SMBC (Jersey City, NJ)
- …The role will work closely with the SMBC Nikko Securities America, Inc., Chief Compliance Officer , SMBC Americas Division Head of Ethics Office, business unit ... Activities and Contributions Lead will report to the Head of Employee Compliance with responsibility for oversight of the firm's outside business activities, private… more
- MUFG (Los Angeles, CA)
- …possible, concerning business management and financial matters. + Serve as first contact officer for clients for matters relating to all banking services and advise ... will be extended to various clients, making sure the terms are in compliance with the bank policy guidelines. When necessary, prepare credit applications and obtain… more
- PNC (New York, NY)
- …PNC CIO, we aim to optimize risk-adjusted economic returns, ensuring compliance with regulatory requirements, and aligning investments with the institution's balance ... directly with other portfolio managers and the Chief Investment Officer to manage a broad portfolio of fixed income...2008 (SAFE Act) and/or the Financial Industry Regulatory Authority ( FINRA ), which prohibit the hiring of individuals with certain… more
- MUFG (New York, NY)
- …stakeholders in registering / opening data issues (Self Identified / Audit / Compliance ) + Work closely with Auditors and other Control personnel to determine MSIIs ... them in a centralized place + Assist Data Management lead and the Data Officer in Sr Management communication and reporting to the regional Chief Data Officer… more
- MUFG (Chicago, IL)
- …be responsible for: **Maintaining and servicing existing portfolio as Junior Account Officer "JAO" / Jr Relationship Manager "Jr RM"** **Developing banking business ... efficiency and effectiveness. + Assist with duties or inquiries related to compliance matters. Ensure adherence to all bank policies and procedures related to… more
- MUFG (New York, NY)
- …issues. **Policy and Deal Advocacy:** + Support the Senior Credit Officer (s), communicate with Relationship Managers and Portfolio Managers to problem solve ... requests are acceptable within the risk appetite of the firm. + Ensure compliance with internal policy and procedural requirements by understanding and adhering to… more