- American Water (Camden, NJ)
- …the matter, with respect to: (1) various SEC and corporate matters, including compliance processes associated with SEC and Section 16 filings, equity and debt ... and director compensation matters, (3) corporate and subsidiary management activities and compliance , (4) compliance with New York Stock Exchange (NYSE)… more
- Stanford University (Stanford, CA)
- …and sound financial administration policies and practices that balance controls, compliance , and customer service. FMS is primarily responsible for financial policy ... control programs, research new regulations, and implement approved changes. Manage compliance program for area of responsibility, interpret internal policy and… more
- Stanford University (Stanford, CA)
- …and sound financial administration policies and practices that balance controls, compliance , and customer service. FMS is primarily responsible for financial policy ... Ensure timely disclosure of financial information to investors in Stanford's debt securities , and implement approved changes. Assist in monitoring the internal debt… more
- Wells Fargo (Irvine, CA)
- …an application for a dwelling secured transaction. As such, this position requires compliance with the SAFE Mortgage Licensing Act of 2008 and all related ... regulatory requirements including additional screening, if necessary + Specific compliance policies may apply regarding outside activities and/or personal investing;… more
- Wells Fargo (Clifton, NJ)
- …appropriate FINRA license(s) is required for ongoing employment in this position. Compliance with state law registration and licensing requirements is mandatory. In ... acceptance. For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite is required. + Specific … more
- Bank of America (Charlotte, NC)
- …learn, grow, and make an impact. Join us! The Global Financial Crimes Compliance (GFCC) Investigator performs end-to-end investigations across one or more lines of ... conducts complex investigations, including fraud committed by external parties, securities fraud, money laundering, or terrorist financing. Responsibilities for this… more
- Wells Fargo (Houston, TX)
- …judgment while developing expertise in the function, policies, procedures, and compliance requirements + Collaborate and consult with peers, colleagues, and managers ... accountability and urgency for achieving results **Job Expectations:** + Registration for Securities Industry Essentials (SIE), Series 63, and Series 79 must be… more
- MUFG (Tempe, AZ)
- …section's output reports, records and files. Ensure all standard operational and compliance procedures are updated and enforced. Provide timely support to new ... conditions and offer opinions and comments consistent with the internal/operating/ Compliance procedures. Respond to inquiries received from front/middle offices,… more
- Wells Fargo (New York, NY)
- …timely monitoring of performance trends, validating risk ratings, monitoring covenant compliance , as well as adherence to policy and regulatory requirements to ... colleagues in the execution of loan booking, closing, and compliance requirements. + Contribute to and lead credit focused...subject to comply with 17 CRF 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article… 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 ... screening and are required to report certain incidents. + Specific compliance policies may apply regarding outside activities or personal investing; affected… more