- Wells Fargo (Salt Lake City, UT)
- …and exercise independent judgment to guide operational efficiencies, quality and compliance + Present recommendations for resolving more complex situations and ... independent judgment while developing expertise in the policies, procedures and compliance requirements + Collaborate and consult with colleagues, internal partners… more
- Wells Fargo (Seal Beach, 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 ... 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 ... screening and are required to report certain incidents. + Specific compliance policies may apply regarding outside activities or personal investing; affected… more
- Wells Fargo (Chicago, IL)
- …with customers. + Identify and mitigate business and legal risks within compliance requirements. + Identify and recommend opportunities for process improvement. + ... Interpret policies, procedures and compliance requirements. + Collaborate and influence all levels of...subject to comply with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article… more
- Citigroup (New York, NY)
- …services, including consumer banking and credit, corporate and investment banking, securities brokerage, transaction services, and wealth management. As a bank with ... responsible for defining and standardizing cloud architecture patterns, ensuring compliance and resiliency, and integrating enterprise-wide architecture with Citi's… more
- Citigroup (New York, NY)
- …programs (eg, ADRs, GDRs), including program structure, lifecycle management, regulatory compliance (eg, SEC filing requirements), and market dynamics. + Collaborate ... with internal teams (operations, legal, compliance , finance, sales, marketing) to ensure seamless service delivery...+ **SEC Regulations:** Comprehensive understanding of SEC rules (eg, Securities Act of 1933, Exchange Act of 1934) and… more
- DuPont (Wilmington, DE)
- …you will be a part of the Finance Tax Team focused on US Federal tax compliance . You will be a key team member responsible for ensuring compliance with US ... procedures and law and provide strategic planning to ensure efficient tax compliance and identify tax-saving opportunities. + May review US international and/or… more
- MUFG (Tampa, FL)
- …the Executive Management. Ensure all default, principal and interest draws are in compliance with the LC terms and conditions and comply with the internal procedures ... and compliance requirements. + **Quality Control and Customer Service** :...a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2)… more
- Wells Fargo (Charlotte, NC)
- …institutions, and wealth management clients - ensuring efficient processing of securities transactions, cash transactions and loans. The team also manages the ... risk, regulatory compliance , and client service associated with these transactions. The...These groups work together to ensure the seamless execution, compliance , and innovation of payment processes across our global… more
- Santander US (Dallas, TX)
- …process end to end, in partnership with global teams for compliance with global/local regulations and jurisdictions, and policy. You will function ... + Escalation contact to ensure all information needed for compliance with regulations is available and accurate, in ...with in depth expertise in various lines of business, securities , escrow, derivatives, loans, EMIR, Dodd Frank, MiFID, 5-7… more