- Wells Fargo (Burlington, VT)
- …and various remediation projects to ensure timely completion, quality, and compliance + Lead, participate and collaborate with peers, colleagues and mid-level ... managers in adherence, development and interpretation of policies, procedures, and compliance requirements + Act as the primary point of escalation for operational… more
- SMBC (Jersey City, NJ)
- …SMBC Group offers a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has more than 130 ... in the Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets, Inc., SMBC MANUBANK, JRI America, Inc.,… more
- Citigroup (Miami, FL)
- …service and problem resolution + Ensure adherence to all internal policies and compliance to legal and regulatory requirements + Process all client transactions and ... credit and investment products. Ensure transactions are completed within audit and compliance standards as well as timely execution. + Be attentive and diligent… more
- Wells Fargo (Miami, FL)
- …while leveraging solid understanding of the function, policies, procedures and compliance requirements + Collaborate and consult with peers, colleagues and managers ... 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 (Charlotte, NC)
- …responsible for direct support of branches and their responsibilities for remote compliance supervision of Private Client Group (PCG) and Wealth Brokerage Services, ... (IRT) channels and support branch offices with on-going monitoring to ensure compliance with internal policies, applicable laws, and regulations + Participate and… more
- Wells Fargo (New York, NY)
- …successful completion and clearing of a background check. Internal transfers are subject to compliance with 17 CFR 240.17f-2 of the Securities Exchange Act of ... Sponsored Repo annex, the Cleared Derivative Execution Agreement and the Master Securities Forward Transaction Agreement with a focus on investment managers and… more
- Wells Fargo (New York, NY)
- …Brokerage Support team, and Client Associates in various aspects of operations, compliance , and technology + Collaborate with the Brokerage Support Manager and other ... projects require, ensuring consistent and efficient execution of the firms Operational, Compliance policies and procedures + Be responsible for execution of various… more
- The Hertz Corporation (Estero, FL)
- …legal setting under the guidance of attorneys, which includes supporting Securities and Exchange Commission ("SEC") filings and public company compliance ... for the corporate team's three critical pillars: (1) public company compliance , (2) corporate governance, and (3) transactional support for financing transactions.… more
- Wells Fargo (Charlotte, NC)
- …Consultant and the AI Middle Office Support Team + Ensure adherence to compliance regulations and policies within the Alternative Investments product area + Lead and ... partner on projects teams + Ensure adherence to compliance regulations and policies within Business Growth Strategy functional area **Required Qualifications:** + 4+… more
- Wells Fargo (Charlotte, NC)
- …Housing, Manufactured Housing) + REIT Finance + Commercial Mortgage Loan and Securities Finance + Real Estate Syndicated Finance + Real Estate Securitization & ... check. Internal transfers are subject to comply with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states… more