- Wells Fargo (Farmington, CT)
- …in a dynamic and complex environment **Job Expectations:** + Specific compliance policies may apply regarding outside activities and/or personal investing; affected ... 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
- Wells Fargo (Iselin, NJ)
- …platform issues of a technically challenging nature + Lead team to ensure compliance and risk management requirements for supported area are met and work with ... + 5+ years of SQL experience. + 4+ years of experience in the securities industry with knowledge of financial instrument valuation, lifecycle, and risk management. +… more
- DuPont (Moncks Corner, SC)
- …the quality assurance process starting from the voice of the customer and in compliance to all required quality system standards (ISO 9001) as well as drives ... improvement. Ensures that the organization remains consistent with, and in compliance with, automotive and other industry standards and performance levels, while… more
- MUFG (Jersey City, NJ)
- …between enterprise and application teams. + Integrate regulatory and compliance requirements into control specifications. + Perform risk assessments on ... that may introduce risk or fail to meet evolving threat and compliance landscapes. Recommend compensating controls or alternative design strategies where necessary.… more
- Wells Fargo (Nashville, TN)
- …in a dynamic and complex environment **Job Expectations:** + Specific compliance policies may apply regarding outside activities and/or personal investing; affected ... 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
- Wells Fargo (Walnut Creek, CA)
- …in a dynamic and complex environment **Job Expectations:** + Specific compliance policies may apply regarding outside activities and/or personal investing; affected ... 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
- Wells Fargo (Charlotte, NC)
- …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 ... screening and are required to report certain incidents. + Specific compliance policies may apply regarding outside activities and/or personal investing; affected… more
- CalSTRS (Sacramento, CA)
- …of policies around information governance structure policy development supporting compliance programs and enforcing internal controls; enabling information access, ... of Legal Ethics & Accountability (OLEA) monitors and maintains compliance functions at CalSTRS in accordance with applicable laws...information and use of a designated trading platform for securities transactions, as well as filing a Statement of… more
- Citigroup (Irving, TX)
- …services, including consumer banking and credit, corporate and investment banking, securities brokerage, transaction services, and wealth management. As a bank with ... (GCP) security architecture across Citi's global cloud initiatives, ensuring compliance with financial regulations, internal controls, and industry best practices.… 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 ... strong customer relationships balanced with a strong risk mitigating and compliance -driven culture which firmly establishes those disciplines as critical to the… more