- KeyBank (Palm Beach Gardens, FL)
- …Management process, prioritized pro- active client contacts, per service standards. Compliance Maintains compliance with all internal policies and procedures, ... management and relationship skills for high-net-worth business. Applied knowledge of investments/ securities in support of sales and client servicing. Completion of… more
- Lincoln Financial (Frankfort, KY)
- …and Tax basis. They will be responsible to perform more complex securities research, analysis, and proper accounting treatment of Lincoln Financial (LF) investment ... and ensures the integrity of accounting records for completeness, accuracy and compliance with accepted accounting policies and principles. + Serves as a technical… more
- M&T Bank (Bear, DE)
- …on their individualized needs. + Regularly review customer information to ensure compliance with BSA (Bank Secrecy Act), AML (Anti-Money Laundering) and KYC (Know ... Your Customer) requirements to protect Bank interests. Address issues of non- compliance by requesting additional information from the client and updating the… more
- MUFG (Irving, TX)
- …and programming techniques to improve system performance while ensuring regulatory compliance . The ideal candidate will bring a blend of technical proficiency, ... and operational processes. + Contribute to continuous improvement of sanctions compliance programs and risk mitigation frameworks. **Education** Bachelor's Degree in… more
- Citigroup (Jersey City, NJ)
- …services, including consumer banking and credit, corporate and investment banking, securities brokerage, transaction services, and wealth management. As a bank with ... feature sets and guiding development efforts across integrating applications. + Compliance & Ethical Conduct: Appropriately assess and manage technical and business… more
- Citigroup (New York, NY)
- …Bank (CPB) portfolios with mortgage, partner lending, and margin and securities backed finance products. Execute the end-to-end Comprehensive Capital Analysis and ... of progressive, post-baccalaureate experience as a Data Analyst, Business Analyst, Compliance Analyst, Risk Manager, Regulatory Risk Officer, or related position… more
- Meta (Fremont, CA)
- …accurate and timely information within the bounds of regulatory and policy compliance . Analytical and modeling skills, attention to detail, organization, and a ... and other business analytics 6. Manage Sarbanes-Oxley Act (SOX) compliance for area of responsibilities **Minimum Qualifications:** Minimum Qualifications: 7.… more
- Dow Jones (Princeton, NJ)
- About the Role Dow Jones Risk & Compliance is a global provider of third-party risk management and regulatory compliance solutions. We deliver data, research ... of Foreign Assets Control in the US, national law enforcement bodies or securities regulators. You will report to the Manager, Sanctions & Other Official Lists.… more
- MUFG (New York, NY)
- …registration in the bank's Core Systems ensuring customer information is in compliance with applicable laws, regulations and industry standard practice and taking ... all bank documents ("Legal Documents") submitted with business transactions and maintain compliance with all bank policies and procedures and work in a professional… more
- Wesleyan University (Middletown, CT)
- …investment operations, including: + Perform daily reconciliations of cash and securities transactions with banking and brokerage partners. + Conduct monthly ... investment managers and third-party administrators to ensure data accuracy and compliance with internal policies. + Verify banking instructions with investment… more