• Lead Alternative Investment Consultant

    Wells Fargo (Dallas, TX)
    …market and across all channels within Wells Fargo's Wealth and Investment Management division (WFA, FINET and the Private Bank) to gain support, access and guidance ... of the asset class, investment offerings, policies, procedures and compliance requirements + Collaborate and consult with peers, colleagues...subject to comply with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article… more
    Wells Fargo (08/16/25)
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  • Retirement Savings Plan Analyst - NWPS

    Raymond James Financial, Inc. (Seattle, WA)
    …provide retirement plan administration services, recordkeeping, consulting, actuarial, compliance and participant_ _services. Based_ _in Seattle, Washington, NWPS ... _RJA is an investment adviser and full-service broker-dealer dually registered with the Securities and Exchange_ _Commission. RJA_ _also is a member of the Financial… more
    Raymond James Financial, Inc. (07/15/25)
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  • Senior Principal Financial Reporting Analyst

    Northrop Grumman (Redondo Beach, CA)
    …financial reporting data and analysis in support of the company's US Securities and Exchange Commission (SEC) disclosure requirements + Analyze sector-level and ... hoc analytical requests + Coordinate with functional, program, and division personnel to drive process changes and resolve Sector...in S4 HANA and HFM + Support Sarbanes-Oxley (SOX) compliance and documentation + Liaise with auditors by providing… more
    Northrop Grumman (06/18/25)
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  • Global Financial Crimes - Quality Assurance Team…

    MUFG (Irving, TX)
    …team will provide more details. The Americas Global Financial Crimes Division (GFCD) Quality Assurance (QA) team organizationally resides within the Global ... Financial Crimes Compliance (FCC) Program Management. GFCD works to ensure that...a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2)… more
    MUFG (09/07/25)
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  • Global Equity Manager

    Medtronic (San Antonio, TX)
    …records, payroll feeds, tax withholding, and country-specific requirements. + Maintain compliance with global securities laws, tax regulations, and local ... This role is critical in driving operational excellence, ensuring compliance , and delivering an exceptional participant experience across multiple geographies.… more
    Medtronic (09/03/25)
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  • Bilingual Relationship Manager, Vice President…

    MUFG (Los Angeles, CA)
    …revenue opportunities that align with the goals of the Bank and the Division . The RM, primarily handling large-scale credit and deposit clients, builds and ... to various clients, making sure the terms are in compliance with the bank policy guidelines. When necessary, prepare...a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2)… more
    MUFG (08/20/25)
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  • Americas Planning and Operations, Vice President

    MUFG (Tempe, AZ)
    …objectives, projects and support including: Global Financial Crimes Division Project Management, Annual Planning, Overseeing vendor relationships, covering ... preferred + Minimum of 5-10 years of experience in compliance , financial crimes risk management or related field +...a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2)… more
    MUFG (09/09/25)
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  • Financial Institution Client Onboarding & KYC,…

    MUFG (Tempe, AZ)
    …(RM's) and Portfolio Managers (PM's), Tax Operations and Regulatory Reporting teams, Compliance Division Officers, and other operations teams. Role has ownership ... Bank's regulatory obligations as well as ensuring adherence to all Compliance , Anti-Money Laundering/Know Your Customer policies and procedures. Day-to-day focus is… more
    MUFG (09/07/25)
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  • AML Policy and Governance Lead, Vice President

    MUFG (Irving, TX)
    …transaction risks based upon this analysis. _Additional duties as assigned Compliance and Regulatory Responsibilities:_ Assist assigned AML Department Manager to ... Under the direction of the assigned AML Department Manager, ensure compliance with federal information sharing requests and regulations, including Grand jury… more
    MUFG (09/07/25)
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  • Associate - Credit Underwriting and Portfolio…

    MUFG (New York, NY)
    …assigned portfolio utilizing internal and external sources. + Oversee covenants compliance database and facility closing due diligence, including documentation. + ... and Deal Advocacy:** + Support the communication with the credit approval division including final hold level strategies to ensure alignment of risk strategy… more
    MUFG (09/07/25)
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