- Citigroup (Tampa, FL)
- …is to assist in the clearance, settlement and investigation of client securities and derivatives transactions. **Responsibilities:** + Individual mapped to this job ... used to present information to management + Support implementation of securities processing improvements + Assist with identifying policy gaps and formulating… more
- Citigroup (Jersey City, NJ)
- …is to facilitate the clearance, settlement and investigation of client securities and derivatives transactions. **Responsibilities:** + Resolve settlement issues and ... used to present information to management. + Support implementation of securities processing improvements + Assist with identifying policy gaps and formulating… more
- CalSTRS (Sacramento, CA)
- Job Posting: Investment Officer III, Investment Compliance State Teachers' Retirement System JC-501517 - Investment Officer III, Investment Compliance INVESTMENT ... an Investment Officer III (IO III) on the Investment Compliance team. CalSTRS Investment Performance & Compliance ...information and use of a designated trading platform for securities transactions, as well as filing a Statement of… more
- Wells Fargo (New York, NY)
- **About this role:** Wells Fargo is seeking a **Lead Compliance Officer** in Corporate Risk as part **Trade Surveillance Oversight** Team. This role will be ... + Develop, oversee, and provide expert business and regulatory compliance functional knowledge. + Develop and present Oversight program...subject to comply with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article… more
- Neuberger Berman (New York, NY)
- Neuberger is seeking an Analyst to join the Compliance Team in New York. This person will report into the Chief Compliance Officer - Central Compliance . In ... to contribute to collaborative projects across the firm's global compliance program. **Primary Responsibilities:** + Review and analyze reports generated… more
- MUFG (Irving, TX)
- …provide more details. **Responsibilities:** Responsible for supporting the Global Compliance Testing function by driving central governance of testing activities, ... dives and targeted risk-based thematic reviews of Financial Crimes Compliance (AML, Sanctions, ABC) and Core Compliance ...a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2)… more
- US Bank (Atlanta, GA)
- …Markets is a senior level management position that supports the Regulatory Compliance Audit Director/Senior Audit Director of the Risk Management and Compliance ... is responsible for providing strategic direction, leadership, and coordination of compliance risk coverage for USB's Wealth, Commercial, Capital Markets business… more
- Manulife (Boston, MA)
- …Act of 1940 and the Investment Advisers Act of 1940 and related compliance practices. + Strong understanding of US investment/ securities products, operations, ... The Director, US Retail Compliance , plays a critical leadership role within the...a critical leadership role within the John Hancock Chief Compliance Officer's Office (the "CCO's Office"), supporting the … more
- MUFG (Irving, TX)
- …team will provide more details. **Summary:** As part of the International Compliance Training Team, the Compliance Training Program Officer (FCTPO) for ... be charged with executing the Financial Crimes and Core Compliance Training program for the Americas, which may include,...a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2)… more
- Bank of America (New York, NY)
- Compliance & Operational Risk Manager - Americas Control Room Manager New York, New York;, **To proceed with your application, you must be at least 18 years of ... must be at least 18 years of age.** Acknowledge (https://ghr.wd1.myworkdayjobs.com/Lateral-US/job/New-York/ Compliance Operational-Risk-Manager Americas-Control-Room-Manager\_25038859-2) **Job Description:** At Bank of America,… more