- Wells Fargo (Greenville, NC)
- …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
- MUFG (Irving, TX)
- …team will provide more details. As a member of the Global Sanctions Compliance Department (GSCD), this contributor will be a sanctions regulations subject matter ... (as applicable) to comply. + **Interacting with regional sanctions compliance teams** on both routine and strategic matters to...a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2)… more
- MUFG (Jersey City, NJ)
- …for ServiceNow platform and ServiceNow Vulnerability Response and Configuration Compliance **Major Responsibilities** + Responsible for the development and sustained ... testing and support of ServiceNow Vulnerability Response and Configuration Compliance capabilities. + Design, implement and support runbooks Vulnerability Response… more
- MUFG (Jersey City, NJ)
- …standards, policies, and procedures * Implement automated control observability and compliance verification * Implement training plans related to standards and ... including establishment of training curriculum, assignment, records management, and compliance monitoring and reporting * Automate operational processes in … more
- Aristotle Capital Management (Los Angeles, CA)
- …a $10 million annual budget. The role also involves ensuring compliance with licensing agreements, conducting market data audits, optimizing processes, and ... optimization and reinvestment opportunities. + Establish firmwide controls to ensure compliance with licensing agreements and regulatory standards + Partner with… more
- Siemens (Raleigh, NC)
- …limited to handling Accounting, Legal, Tax, New Collaboration Model (NCM) and Export Compliance and Control (ECC) topics. Ensure compliance of regulations during ... status meetings, ensuring data accuracy (eg, FC, cash flow). + Ensure compliance with Siemens FRG and local GAAP requirements, and manage financial guarantees,… more
- MUFG (Tampa, FL)
- …Documentary Collections- Incoming and Outgoing/ Checks (b) US compliance regulation checks/screening/data entry; and (c) acceptances/payments, Reimbursement claims. ... against courier log. Handle Documentary LC documents as well. **Perform compliance checks/screening** for OFAC, EAR, Anti-boycott, BSA AML and JFEL (Japanese… more
- Citigroup (Tampa, FL)
- …services, including consumer banking and credit, corporate and investment banking, securities brokerage, transaction services, and wealth management. As a bank with ... and analyze security risk evidence and coordinate with internal and external compliance and auditing agencies / officials + Execute meetings and communicate complex… more
- Janus Henderson Investors (Denver, CO)
- …Collaborate closely with product specialists, investment writing, distribution, design, compliance and channel marketing to produce high quality and effective ... analytical skills and attention to detail + Thorough understanding of industry compliance requirements + Broad knowledge of regulatory environment in UK and Europe… more
- MUFG (Irving, TX)
- …Quality Assurance (QA) team organizationally resides within the Global Financial Crimes Compliance (FCC) Program Management department. GFCD works to ensure that our ... Reviewer, you will contribute to the operation of the financial crime compliance framework. Thus, your responsibilities and accountabilities include, but are not… more