- 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 sanctions ... Provide oversight of sanctions screening applications and related projects to ensure compliance with US regulations and internal technical standards. + Support issue… more
- Harbor Group Management (Norfolk, VA)
- …for our residents. Job Title: Supervisor, Financial Reporting & Accounting Compliance Location: Norfolk, Virginia, Onsite JOB SUMMARY: Responsible for the ... Additional responsibilities will include, but not limited to, performing custody compliance procedures and working with our external auditors. ESSENTIAL DUTIES AND… more
- PNC (Chicago, IL)
- …to contribute to the company's success. As a Product Manager Lead for Securities Based Lending within PNC's Asset Management Group (AMG) organization, you will be ... * Familiarity of industry standards for Margin and Advance rates for Securities -Based Lending products * Understanding of how credit policies and collateral… more
- Citigroup (Getzville, NY)
- The Securities & Derivatives Manager is an intermediate management level position responsible for providing full leadership and direction to a team of employees in ... objective of this role is to ensure the seamless delivery of securities and derivatives transactions. **Responsibilities:** + Execute securities transaction… more
- TD Bank (New York, NY)
- …York, New York, United States of America **Hours:** 40 **Line of Business:** TD Securities **Pay Detail:** $80,000 - $103,000 USD TD is committed to providing fair ... **Job Description:** **Position Title:** Finance Analyst (L9) **Business Unit:** TD Securities **Division/Region:** TD Securities USA (New York/Canada) **Report… 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 (Tampa, FL)
- …deeper understanding of data & reporting needs for Financial Crimes, Compliance , Wholesales Lending, Investment Banking and Transaction Banking businesses. + Develop ... Must have experience in one or more domains including Financial Crimes, Compliance , Payments, Risk Reporting, Regulatory Reporting, GL and Customer & Product… more
- MUFG (Irving, TX)
- …Strategy and Oversight** , the Vice President, **Head of Financial Crimes and Compliance Human Capital Strategy** , is a critical divisional leader responsible for ... + Oversee implementation of Global Job Architecture across Core Compliance and GFCD Globally + Partner with Global HR...a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2)… more
- Securities and Exchange Commission (Washington, DC)
- …Division's selective review of offering documents and periodic filings submitted pursuant to the Securities Act of 1933 and the Securities Exchange Act of 1934. ... You would supervise multidisciplinary offices that conduct reviews to ensure compliance with the applicable disclosure and accounting requirements and collaborate… more
- JPMorgan Chase (Tampa, FL)
- 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