- Molson Coors Beverage Company (Milwaukee, WI)
- …internal control structure and filing of periodic reports with the US Securities and Exchange Commission, including the quality and timely delivery of the ... individuals. **The Responsibilities** **_:_** + Direct and ensure the adequacy and compliance of external SEC filings, including but not limited to accounting… more
- Citigroup (Irving, TX)
- …including consumer banking and credit, corporate and investment banking, securities brokerage, transaction services, and wealth management. Our core activities ... drive innovation or improve operational efficiency. + **Data Quality & Compliance :** + Support the development, implementation, and continuous refinement of data… more
- MUFG (Irving, TX)
- …This position will be responsible for supporting MUFG's financial crimes compliance ("FCC") risk assessment activities globally with an emphasis on sanctions ... MUFG's risk assessment processes with an emphasis on sanctions compliance risk analysis. + Serving as sanctions subject matter...a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2)… more
- Wells Fargo (Dallas, TX)
- …understanding of the asset class, investment offerings, policies, procedures and compliance requirements + Collaborate and consult with peers, colleagues and ... 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
- Truist (Charlotte, NC)
- …matters for Truist Financial Corporation and its subsidiaries to ensure compliance with GAAP, regulatory reporting and affiliate transaction requirements. Such ... process of the Financial Accounting Standards Board ("FASB,") and United States Securities and Exchange Commission ("SEC,"), as well as the Federal Deposit Insurance… more
- MUFG (Los Angeles, CA)
- …to various related parties throughout the bank. + Oversee covenants compliance , facility due date, condition/instruction/report required, and call memos. + Perform ... information and analysis pertinent to making a decision. Policy Compliance + Ensure compliance with external regulatory...a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2)… more
- MUFG (Tempe, AZ)
- …with various stakeholders to gather requirements, define patterns, and ensure compliance with governance standards. The specialist will also be responsible for ... + Implement and manage DSPM tools to enhance data protection and compliance with regulatory requirements + Collaborate with various stakeholders to ensure the… more
- Truist (Richmond, VA)
- …items by ensuring that the advisors, OSJs and/or branch offices are in compliance with industry rules, regulations as well as internal policies and procedures. ... to time. + Supervisory responsibility for Broker Dealer activity including Securities Trading and Annuity Principal Review and Approval. Utilize multiple systems… more
- TD Bank (New York, NY)
- …improvements based on risk, impact, and value. + Work with Front Office, Compliance , Surveillance, Legal, and Risk to capture voice recording requirements and ensure ... to support capture elements for voice endpoints. + Partner with surveillance, compliance , and archive teams to ensure recordings are captured, retained, and… more
- Regions Bank (Hoover, AL)
- … partners on mitigating risk. **Primary Responsibilities** + Ensures full compliance with Financial Industry Regulatory Agency (FINRA), Securities and ... that systems and processes are in place for investment compliance needs + Leads recruitment, onboarding, and training initiatives...as an escalation point for complex client inquiries or compliance concerns + Stays up to date with market… more