- MUFG (Irving, TX)
- …to deliver an effective second line of defense testing program that meets senior management and regulatory expectations. Reviews will include assessment of the Swap ... of first- and second-line of defense controls and prepare reviews for senior management detailing assessment of the effectiveness of the Compliance program for… more
- Wells Fargo (Charlotte, NC)
- …documentation of the PLA oversight process + Act as an advisor to senior leadership to develop or influence analytical strategies for highly complex business and ... one or a combination of the following: trading, desk analyst , Capital Markets, market risk, interest rate risk or...Securities Exchange Act of 1934 and FINRA Bylaws, Article III , Section 3, which states that Associated Persons should… more