- 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
- KeyBank (Hartford, CT)
- …accounts with a proactive, disciplined, consistent and comprehensive approach ** Compliance ** + Fulfills Key's fiduciary responsibilities with utmost adherence to ... Regional Trust Director and local team members on pricing, client service, compliance and litigation issues, as needed and appropriate **REQUIRED QUALIFICATIONS** +… more
- Citigroup (O'Fallon, MO)
- …related to banking and /or investment operations - including placing unsolicited securities trades (Series 7 & 63 required). + Ensures customer claims and ... and firm policy. + Ensures that KYC/AML and other compliance norms are strictly adhered to. + Builds a...and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to… more
- HSBC (New York, NY)
- …and wallet share. An understanding of the Corporate Sales business, Markets & Securities Services (MSS) products and clients is therefore essential in this role. ... demands of the role (size of the organization, business knowledge process, compliance /risk nature of the function, intensity and diversity of change, competitive… more
- Citigroup (Irving, TX)
- …including consumer banking and credit, corporate and investment banking, securities brokerage, transaction services, and wealth management. Our core activities ... appropriate levels of transparency and communication. + **Risk Management & Compliance ** : Support a risk management-based approach for organizational strategy… more
- MUFG (Tempe, AZ)
- …instill and demonstrate sustained performance with performance management/reporting, compliance , issue/escalation management, and continuous improvement routines are ... goals + Conduct regular business reviews with key suppliers to ensure compliance with contract deliverables **Market Research & Analysis** + Provide full and… more
- TD Bank (New York, NY)
- …transaction banking processes, **payments, SWIFT messaging, ISO 20022, regulatory compliance ** . Technical and Functional spec, Agile/Scrum, API documentation, ... clients and applications by following standards, policies and procedures in compliance with IT Disaster Recovery Plan + Identifies, recommends, sources, negotiates… more
- Capgemini (New York, NY)
- …global financial services firm providing a wide range of investment banking securities investment management and wealth management services We advise originate trade ... analyses for new and existing solutions Ensure solutions adhere to security compliance and performance standards Provide mentorship and guidance on technology stacks… more
- Citigroup (Tampa, FL)
- …firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying ... Qualifications: * 6-10 years exeperience in management, risk management and/or regulatory compliance in one or more of the following risk disciplines: technology… more