- MUFG (Tempe, AZ)
- …+ Development of data, analyses, and presentation materials. In addition to GFCD, the position will also support Americas Compliance and Core Compliance IM ... in leading the coordination and delivery of financial crimes compliance issues program in accordance with the Global Financial...a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2)… more
- Fifth Third Bank, NA (Cincinnati, OH)
- …and best practices deemed necessary by key stakeholders (such as Legal, Compliance , Enterprise Risk and Audit partners). Supports Business Controls in advancing risk ... information and insights to stakeholders. Monitors and manages risks to ensure compliance and validation of program effectiveness with assigned line of business or… more
- ADP (La Palma, CA)
- …meaningful impact. **Bonus points for these:** _Preferred Qualifications_ + Securities Industry Essentials (SIE) and Financial Industry Regulatory Authority (FINRA) ... waiting for? **Apply today!** Base salary offers for this position may vary based on factors such as location,...factors such as location, skills, and relevant experience. Some positions may include additional compensation in the form of… more
- ADP (Florham Park, NJ)
- …FOR THESE:** _Preferred Qualifications_ + Prior quota-carrying experience + Securities Industry Essentials (SIE) and Financial Industry Regulatory Authority (FINRA) ... for? Apply today! jobs.adp.com** **\#LI-BD2** **\#LI-Onsite** Base salary offers for this position may vary based on factors such as location, skills, and relevant… more
- State of Massachusetts (Boston, MA)
- …Law; . Manage a case load of appeals and draft determinations concerning compliance with the Public Records Law; . Coordinate with the Supervisor, attorneys, and ... the chief election officer, chief information officer, and chief securities regulator in Massachusetts. Additionally, the office is charged...from a broad spectrum of backgrounds to apply for positions . It is the policy of The Office of… more
- Santander US (New York, NY)
- …+ Prepare detailed Model Development Documentation (MDD) to ensure regulatory compliance . Risk Analytics & Model Development: + Develop, test, and enhance ... plans to align with regulatory expectations. Stakeholder Communication & Regulatory Compliance : + Collaborate with key stakeholders, including trading desks, IT,… more
- Janus Henderson Investors (Denver, CO)
- …product marketer with significant experience in financial services/asset management. This position will own the development and execution of product marketing ... Collaborate closely with product specialists, investment writing, distribution, design, compliance and channel marketing to produce high quality and effective… more
- Wells Fargo (Irvine, CA)
- …with customers. + Identify and mitigate business and legal risks within compliance requirements. + Identify and recommend opportunities for process improvement. + ... Interpret policies, procedures and compliance requirements. + Collaborate and influence all levels of...office a minimum of 4 days per week _This position is subject to FINRA Background Screening Requirements, including… more
- Wells Fargo (Charlotte, NC)
- …successful completion and clearing of a background check. Internal transfers are subject to compliance with 17 CFR 240.17f-2 of the Securities Exchange Act of ... hours + Ability to travel up to 10% of the time + Visa sponsorship is not available + This position is subject to FINRA Background Screening Requirements, including… more
- Wells Fargo (Minneapolis, MN)
- …and exercise independent judgment to guide operational efficiencies, quality and compliance + Present recommendations for resolving more complex situations and ... independent judgment while developing expertise in the policies, procedures and compliance requirements + Collaborate and consult with colleagues, internal partners… more