- JPMorgan Chase (Charlotte, NC)
- …& Investment Bank is a global leader across banking, markets, securities services and payments. Corporations, governments and institutions throughout the world ... work closely with partners from Sales, Operations, Onboarding, Technology, Risk, Compliance and Legal, driving controls execution initiatives for WHEM Client… more
- Truist (Beverly Hills, CA)
- …trust-based portfolios and is responsible for adhering to and documenting compliance with Truist Advisory Services, and relevant regulatory policies and procedures. ... + Work with Investment Managers and compliance to monitor client portfolios relative to their investment...the Truth in Lending Act, Rule 17a-3(a)(12) of the Securities and Exchange Act of 1934, FINRA Rule 3110(e),… more
- JPMorgan Chase (San Diego, CA)
- …team environment to deliver bespoke solutions and exceptional client service. + The Securities Industry Essential (SIE) exam, FINRA Series 7, and FINRA Series 66 (or ... position. Your continued employment in this position would be contingent upon compliance with Truth in Lending Act/Dodd Frank Loan Originator requirements. In… more
- Scotiabank (New York, NY)
- …High Yield Bonds, and in some cases, Private Placement and Investment Grade securities to Scotiabank's investing clients. This role will look to grow and support ... effectiveness of day-to-day business controls. Understand that operational risk, regulatory compliance risk, AML/ATF risk, and conduct risk requirements must all be… more
- MUFG (Tampa, FL)
- …Experience working with vendors and executing outsourcing initiatives + Familiar with compliance issues related to vendor due diligence and vendor risk monitoring + ... the bank's policies as they relate to vendor management, compliance , security, etc **EDUCATION** + Degree or equivalent work...a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2)… more
- ADP (Florham Park, NJ)
- …FOR THESE:** _Preferred Qualifications_ + Prior quota-carrying experience + Securities Industry Essentials (SIE) and Financial Industry Regulatory Authority (FINRA) ... and a leader in business outsourcing services, analytics, and compliance expertise. We believe our people make all the...conducting business with the highest ethical standards and full compliance with all applicable laws. We also expect our… more
- MUFG (San Francisco, CA)
- …related to the team. + Assist with duties or inquiries related to compliance matters. Ensure adherence to all bank policies and procedures related to regulatory ... compliance as required. + Perform and coordinate other duties...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)
- …more details. **RESPONSIBILITIES:** + Coordinate the required deliverables to implement compliance with the Sound Practices to Operational Resilience, and ensure all ... + Produce metrics and reporting to regularly show overall health and compliance for all Business Continuity, Disaster Recovery, and Incident Management deliverables… more
- Truist (Jupiter, FL)
- …Maintain appropriate legal, operating and regulatory controls to manage risk and compliance . Works within the existing audit, compliance and regulatory framework ... * FINRA: Maintains proper licenses including Series 7, Series 66, the Securities Industry Essentials (SIE) Exam as applicable Life, Health, and Variable insurance… 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 ... are upheld from the information security perspective and support routine compliance activities. Eventually, the candidate will need to support technology… more