- Wells Fargo (Minneapolis, MN)
- …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
- CS Energy (Albany, NY)
- …with specific focus on vital terms such as, force majeure, notifications, schedule, LDs, IRA compliance , and other risks and compliance items + Not only have a ... understanding of client specifications and requirements but also ensure compliance during pre-planning, preconstruction, construction, and closeout. + Work with… more
- MUFG (Tampa, FL)
- …of information security policies, standards, and procedures + Support inquiries from compliance teams such as IT risk management and internal and external auditors ... to ensure documentation is complete and processes are in compliance with information security policies + Create reports analyzing activities or trends both within… 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 ... strong customer relationships balanced with a strong risk mitigating and compliance -driven culture which firmly establishes those disciplines as critical to the… more
- US Bank (Earth City, MO)
- …the assigned market's adherence to FINRA, SEC, MSRB, OCC, and internal compliance policies.** **Manages first line supervision by monitoring associated persons' ... compliance with firm and regulatory risk management policies and...Qualifications** : Typically requires three years or more of securities principal experience, and a Bachelor's degree and/or progressive… more
- Wells Fargo (Dallas, TX)
- …check. Internal transfers are subject to comply with 17 CRF 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states ... strong customer relationships balanced with a strong risk mitigating and compliance -driven culture which firmly establishes those disciplines as critical to the… more
- MUFG (Tampa, FL)
- …oversight for Trade Services Operations, working with Risk, Audit, Compliance , Legal and other stakeholders, as needed. Reporting/Reconciliation: + Support ... customer data for various departments. + Maintain and ensure compliance with department procedures and bank policies; engage in...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)
- …derivatives (futures, swaps, vanilla options, exotic options, or asset back securities including RMBS), capital market structures, market risk management practices, ... strong customer relationships balanced with a strong risk mitigating and compliance -driven culture which firmly establishes those disciplines as critical to the… more
- MUFG (Irving, TX)
- …provide more details. **Summary:** As a member of the Global Sanctions Compliance Department (GSCD), this individual will support in the oversight and continuous ... enhancement of the Bank's Global Sanctions Compliance Program. The GSCD Program is responsible for advising...a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2)… more
- The Salvation Army (West Nyack, NY)
- …or authorizing designated persons to sign documents covering sale of securities . * Assist in processing gift annuity certificates/agreements through the Board ... contracts, agreements, applications and corporate documents prior to execution to ensure compliance with the policies of The Salvation Army. * Monitor contracts,… more