- Wells Fargo (Charlotte, NC)
- …check. Internal transfers are subject to comply with 17 CRF 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states ... strong customer relationships balanced with a strong risk mitigating and compliance -driven culture which firmly establishes those disciplines as critical to the… more
- Wells Fargo (Rochester, NY)
- …and present analysis through meaningful statistics + Develop expertise in firm, compliance and regulatory policies and procedures + Collaborate and consult with ... FINRA registration **Desired Qualifications:** + Experience partnering with business, compliance and supervision partners to address concerns, resolve complex issues… more
- Wells Fargo (Charlotte, NC)
- …check. Internal transfers are subject to comply with 17 CRF 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states ... strong customer relationships balanced with a strong risk mitigating and compliance -driven culture which firmly establishes those disciplines as critical to the… more
- MUFG (Irving, TX)
- …Are you a hard-working and resourceful candidate interested in pursuing a career in compliance and the banking industry? This opportunity might be right for you. At ... and business exposure in the world of financial crimes compliance . You will work closely with both financial crimes...a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2)… more
- FirstEnergy (Akron, OH)
- …Communications, Corporate Responsibility, Accounting, Finance, Human Resources and Ethics and Compliance , to drive implementation of key initiatives in a wide-range ... and consents, and maintain corporate minute books and Board portal + Ensuring compliance with Board and Committee policies and charter documents + Support and… more
- CalSTRS (Sacramento, CA)
- …**9/18/2025** **Job Description and Duties** The CalSTRS Enterprise Risk Management & Compliance Services Division is seeking a motivated individual to work as a ... direction of the Director of Enterprise Risk Management and Compliance Services, the Assistant Director (FA IV) of Enterprise...information and use of a designated trading platform for securities transactions, as well as filing a Statement of… more
- Terumo Medical Corporation (Somerset, NJ)
- …Blood and Cell Technologies, Inc. (collectively "Terumo"), including ensuring compliance with privacy laws and regulations, developing and implementing privacy ... and regulations. Will be responsible for protecting Terumo against legal and compliance risks related to privacy and data management. Additionally, the Senior… more
- MUFG (Tempe, AZ)
- …VP and the team in leading the coordination and delivery of financial crimes compliance issues program in accordance with the Global Financial Crimes Compliance ... addition to GFCD, the position will also support Americas Compliance and Core Compliance IM data analysis...a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2)… more
- MUFG (Tempe, AZ)
- …the daily operations and execution of a global financial institution's sanctions compliance program. As a member of the Global Financial Crimes Division (GFCD) ... Sanctions Compliance Department, this individual will be the SME supporting...a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2)… more
- MUFG (Tempe, AZ)
- …President (AVP) role in the Global Financial Crimes Division ("GFCD") and Americas Compliance function of MUFG Bank, Ltd. will report to the Vice President, Americas ... in leading the coordination and delivery of Americas core compliance and financial crimes compliance issues data...a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2)… more