- Janus Henderson Investors (Denver, CO)
- …of presentations covering your assigned area of responsibility, quality control and compliance approvals, while staying abreast of all messaging and content updates, ... compliance requirements, data sourcing, and uploading content to distribution...our Investment Advisory Code of Ethics related to personal securities activities and other disclosure and certification requirements, including… more
- MUFG (Tempe, AZ)
- …client inquiries. + Ensure policy guidelines are followed to mitigate risk and compliance issues. + Demonstrate a commitment to, implement, and follow policies and ... laundering (AML), Bank Secrecy Act (BSA), and other relevant operational, compliance and other risk management-related requirements as appropriate. + Further a… more
- TD Bank (New York, NY)
- …organization. The WMP will partner with Senior Leaders throughout TD AMCB and TD Securities (TDS) and will represent US Wealth across all communities in the Market. ... maintain high ethical standards + Manages assigned employees in compliance with all HR policies, procedures, and guidelines of...Market share + Leads in a manner that strengthens compliance with all regulations, policies and procedures that apply… more
- Cardinal Health (Concord, NH)
- …image. This function provides legal counsel related to commercial, corporate securities , intellectual property, labor and employment, and regulatory law, among other ... contracts are compliant. This job also reviews external communications to confirm legal compliance and liaises with a variety of Legal and other internal teams to… more
- MUFG (Los Angeles, CA)
- …will be extended to various clients, making sure the terms are in compliance with the bank policy guidelines. When necessary, prepare credit applications and obtain ... credit review reports and perform credit control duties. Policy Compliance (5%) + Ensure compliance with external...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)
- …coding expertise in languages such as Java and Python, and adherence to compliance frameworks including NIST, PCI-DSS, and SOX. The ideal candidate brings over five ... remediate security risks, integrate security into DevOps workflows, and ensure compliance with industry standards, while fostering a collaborative environment that… more
- Wells Fargo (Washington, DC)
- …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
- Wells Fargo (Chicago, IL)
- …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
- City of New York (New York, NY)
- …City agencies to help the City and its related issuers develop post-issuance compliance policies and procedures in accordance with securities laws. - Tracking, ... procedures related to their annual financial audits and is responsible for compliance with federal regulations that require the public disclosure of financial… more
- MUFG (Tempe, AZ)
- …Management Life Cycle through reporting and oversight activities that ensure compliance with regulatory expectations and internal Policies, Standards and Procedures. ... system health checks, audits, and reporting to ensure data integrity and compliance , support refresh of documented user guides, process flows, system generated… more