- Citigroup (Tampa, FL)
- …Reporting & Client Tax Operations Quality Assurance (QA) team in our Wealth division . The Global Regulatory Reporting & Client Tax Operations Quality Assurance (QA) ... framework for all regulatory reporting & Client Tax across multiple jurisdictions, ensuring compliance with diverse and complex regulations & Tax laws. This role is… more
- Wells Fargo (Jacksonville, FL)
- …National Branch Network as part of the Consumer, Small & Business Banking division . Learn more about the career areas and business divisions at wellsfargojobs.com. ... an application for a dwelling secured transaction. As such, this position requires compliance with the SAFE Mortgage Licensing Act of 2008 and all related… more
- Wells Fargo (Seal Beach, CA)
- …National Branch Network as part of the Consumer, Small & Business Banking division . Learn more about the career areas and business divisions at wellsfargojobs.com. ... an application for a dwelling secured transaction. As such, this position requires compliance with the SAFE Mortgage Licensing Act of 2008 and all related… more
- CalSTRS (Sacramento, CA)
- …**Job Description and Duties** The CalSTRS Enterprise Information Management & Operations division is seeking a motivated individual to work as a Staff Services ... of policies around information governance structure policy development supporting compliance programs and enforcing internal controls; enabling information access,… more
- 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 department. GFCD works to ensure...a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2)… more
- 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
- 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
- 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 (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 (Irving, TX)
- …MUFG. One of several key positions in the Global Financial Crimes Division Transaction Monitoring function, this position will be responsible for providing strategic ... + Familiarity implementing, testing or evaluating performance of financial crime and compliance systems. + Proven track record of strong quantitative testing and… more