- Bank of America (Palm Beach, FL)
- Wealth Management Lending Officer Palm Beach, Florida **Job Description:** Merrill Wealth Management is a leading provider of comprehensive wealth management and ... customers of product/pricing policies and guidelines, while maintaining regulatory and compliance requirements of the Line of Business. This position is subject… more
- HSBC (Fremont, CA)
- …expected to provide securities recommendations to clients As our Wealth Relationship Officer you will: + Provide high quality sales support to an individual or ... + Foreign language skills such as Mandarin or Cantonese are required. In compliance with applicable laws, HSBC is committed to employing only those who are… more
- Mizuho Corporate Bank (New York, NY)
- …and implication in the onboarding process + Understand policy changes socialized by Compliance and implications to the onboarding process + Manage end to end ... Onboarding coordination for OTC Derivatives and Equities Derivatives business, Securities and Bank onboardings for Corporate clients + Produce Metrics and support… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …essential risk context. . Reports risk-related data including risk exposure, compliance to risk policies, and effectiveness of current risk management strategies ... provide advice on such documentation negotiation from the credit perspective. . Securities /Private Client and Asset Management products and an understanding of the… more
- MUFG (Tampa, FL)
- …the Executive Management. Ensure all default, principal and interest draws are in compliance with the LC terms and conditions and comply with the internal procedures ... and compliance requirements. + **Quality Control and Customer Service** :...a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2)… more
- KeyBank (Albany, NY)
- …legal issues, distribution, etc. + Pro-active client contacts, per service standards ** Compliance ** + Maintains compliance with all internal policies and ... as part of sales and client servicing team + Working knowledge of investments/ securities COMPENSATION AND BENEFITS This position is eligible to earn a base salary… more
- KeyBank (Rochester, NY)
- …back-up to other team members + Mitigates risk by servicing accounts in compliance with KeyBank policies and procedures, as well as with regulatory and legal ... coordinating team activities such as training programs, process training, etc. Compliance + Fulfills Key's fiduciary responsibilities with utmost adherence to all… more
- Citigroup (Jacksonville, FL)
- …pose excessive risk(s). + Develops and drives quality-checking routines to ensure compliance with all relevant policies, operating guides, and owned control testing. ... firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying… more
- MUFG (Tempe, AZ)
- …controls, and identifying issues resulting from internal and external compliance examinations + Experience evaluating process documentation, risk, and control ... is not subject to a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2) or 8a(3) of the Commodity… more
- State of Montana (Helena, MT)
- …Securities Association (NASAA), and collaboration with other state regulators The Securities Compliance Technician serves this mission by performing ... * Seeks additional information from salesperson and investment adviser representatives' firm's Compliance Officer to determine the materiality of the disclosure… more
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