- MUFG (Tampa, FL)
- …Control and Customer Service; (4) Staff and Performance Management (5) Compliance policies and procedures. (6) Special projects (7) Provide Operational /Technical ... Ensure all default, principal and interest draws are in compliance with the LC terms and conditions and comply...a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2)… more
- MUFG (Irving, TX)
- …will be responsible for preparing Suspicious Activity Reports (SAR) in compliance with established regulatory guidelines and time frames. **Responsibilities** + ... report suspicious activity as required + Communicate with AML Compliance Manager any activity and trends that could implicate...a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2)… more
- Fifth Third Bank, NA (Cincinnati, OH)
- …and best practices deemed necessary by key stakeholders (such as Legal, Compliance , Enterprise Risk and Audit partners). Supports Business Controls in advancing risk ... information and insights to stakeholders. Monitors and manages risks to ensure compliance and validation of program effectiveness with assigned line of business or… more
- Cardinal Health (Charleston, WV)
- …image. This function provides legal counsel related to commercial, corporate securities , intellectual property, labor and employment, and regulatory law, among other ... + Handle fast paced and high-volume workload + Identify legal and compliance issues and business risks and escalate appropriately + Effectively communicate with… more
- MUFG (Irving, TX)
- …enterprise risk framework. As a strategic leader within the Financial Crimes Compliance function, you will bring deep expertise in quantitative modeling, sanctions ... compliance systems, regulatory policy, and banking operations. You will...a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2)… more
- Citigroup (Tampa, FL)
- …framework for all regulatory reporting & Client Tax across multiple jurisdictions, ensuring compliance with diverse and complex regulations & Tax laws. This role is ... range of products and services offered to global clients. **Regulatory Compliance :** Stay abreast of evolving global regulatory requirements, Citi policies,… more
- Wells Fargo (Pembroke Pines, FL)
- …an application for a dwelling secured transaction. As such, this position requires compliance with the SAFE Mortgage Licensing Act of 2008 and all related ... in the sales development process + Knowledge and understanding of retail compliance controls, risk management, and loss prevention + Ability to follow policies,… more
- TD Bank (Manchester, NH)
- …and will be expected, on a delegated basis, to manage the day-today supervisory, compliance and operational aspects of the business in order to achieve our strategic ... supported WML(s) + Ensures timely and effective response to Compliance , Central Supervision and Audit, Compliance or...and is subject to the requirements of FINRA and Securities Laws. May (or may not) be a registered… more
- Wells Fargo (Jacksonville, FL)
- …an application for a dwelling secured transaction. As such, this position requires compliance with the SAFE Mortgage Licensing Act of 2008 and all related ... in the sales development process * Knowledge and understanding of retail compliance controls, risk management, and loss prevention * Ability to follow policies,… more
- Wells Fargo (Charlotte, NC)
- …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 ... design, system** **implementation/upgrade,** **vendor** **assessment/selection,** **new product design, regulatory compliance and issue resolution, process improvement and redesign** +… more