- MUFG (Irving, TX)
- …team is seeking a Vice President to serve as a Financial Crimes Compliance Technology Manager. This role will support the Americas team in overseeing Transaction ... oversight of Transaction Monitoring applications and related projects to ensure compliance with US regulations and internal technical standards. + Support issue… more
- JPMorgan Chase (Jersey City, NJ)
- Bring your expertise to JPMorgan Chase. As part of Risk Management and Compliance , you are at the center of keeping JPMorgan Chase strong and resilient. You help the ... impact our company, customers and communities. Our culture in Risk Management and Compliance is all about thinking outside the box, challenging the status quo and… more
- Insight Global (Tampa, FL)
- …registered investment advisor firm local to the Tampa area is looking for 2 Compliance Associates to sit within the securities brokerage and investment advisory ... . Skills and Requirements -3 years of experience within compliance in a financial environment -Series 7 & 24 registrations… more
- MUFG (Tempe, AZ)
- …will provide more details. **Job Summary** **WORK EXPERIENCE:** + Experience in compliance testing, regulatory examination, audit, or risk management. + Exposure to ... regulatory exams or inquiries. + Experience with Core Compliance requirements such as Ethics, Data Privacy, Information Handling, Records & Information Management,… more
- Wells Fargo (New York, NY)
- …underwriting and due diligence on Commercial Real Estate loans for Commercial Mortgage-Backed Securities (CMBS) loans. Learn more about our career areas and lines of ... strong customer relationships balanced with a strong risk mitigating and compliance -driven culture which firmly establishes those disciplines as critical to the… more
- Citigroup (Tampa, FL)
- …to assist in the clearance, settlement and investigation of client securities and derivatives transactions. **Responsibilities:** + Utilize industry and business ... strategy, redefining existing systems/flows + Identify and support implementation of securities processing improvements + Assist with identifying control gaps and… more
- Citigroup (Getzville, NY)
- The Securities & Derivatives Associate Analyst is a developing professional role. This role identifies policy and applies specialty knowledge in monitoring and ... + Individual mapped to this job description is responsible for securities transaction processing execution + Typically related to Securities … more
- Citigroup (Getzville, NY)
- Warehouse Settlement Analyst is a role within Market Operations supporting Cash Securities and facilitating timely settlement of trades. The overall objective of ... is to assist in the clearance, settlement and investigation of fixed income securities while providing best in class customer service. Analyst will be expected to… more
- JPMorgan Chase (Jersey City, NJ)
- …leadership, and the opportunity to make a meaningful impact on our Securities Services business. You'll collaborate with talented professionals and benefit from ... strategic thinking, and continuous improvement. As a Control Manager in the Securities Services Operations Control Management team, you will play a key role… more
- BlackRock (New York, NY)
- …sales experience preferred. BA/BS degree required. NASD series 7, 63 and 65 securities licenses (or 66) strongly preferred. Clean compliance record required with ... cultivate relationships with portfolio managers, sales team, marketing, legal and compliance , RFP team. Synthesize and communicate client insights and market… more