- 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
- Hills Bank (Hills, IA)
- …Financial Reporting + Preparation of management and regulatory reports to the Securities and Exchange Commission (SEC) and other regulators including: + + 10-K ... Accounting Duties Ensures that the Bank's financial records are maintained in compliance with Bank policies, US GAAP and SEC reporting requirements. The specific… more
- Hills Bank (Hills, IA)
- …needed. + Assist with preparation of management and regulatory reports to the Securities and Exchange Commission (SEC) including: + 10-K (annually) + 10-Q (quarterly ... Accounting Duties Ensures that the Bank's financial records are maintained in compliance with Bank policies, US GAAP and SEC reporting requirements. The specific… more
- MUFG (Irving, TX)
- …Experience** + Bachelor's degree required + Experience in supporting ABC compliance program development and maintenance + Experience interacting with business, ... control function and compliance personnel + Strong organizational and communication skills +...a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2)… more
- MUFG (Irving, TX)
- …transaction monitoring and sanctions screening applications. + **Ensure strict compliance ** with technical best practices, standards, and policies, maintaining the ... **Sanctions Screening:** Skilled in conducting sanctions screening to ensure compliance with regulatory requirements and prevent transactions involving sanctioned… more
- Citigroup (New York, NY)
- …to be considered, and seeks or grants approvals as appropriate. + Ensure compliance on regulatory requirements and minimizes any potential liability for Citi. + ... and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to...and product systems, platforms, tools and capabilities. + FINRA Securities Licenses: Series 7 and 66 (or 63 &… more
- Scotiabank (New York, NY)
- …business controls to meet obligations with respect to operational, compliance , AML/ATF/sanctions and conduct risk. REQUIREMENTS: Master's degree or foreign ... an in-depth knowledge of risk methodology with respect to a vast range of securities and loans; pulling data from multiple sources into risk calculation engines and… more
- MUFG (Irving, TX)
- …3+ years of experience in Financial Services, preferably in Financial Crimes Compliance , Financial Crimes Operations + 3+ years of experience drafting, writing, ... with MUFG management and stakeholders + Strong interest in financial crimes compliance , including economic sanctions + Ability to interpret regulations and apply… more
- MUFG (Jersey City, NJ)
- …all lines of business (Global Corporate & Investment Banking, Finance, Risk, Compliance , Chief Data Office, Information Technology), Product Owners, and Data owners. ... loans, deposits, trade finance, markets, investment banking, transaction banking, payments, compliance in the banking or financial services industries. + Hands-on… 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 ... culture of innovation, ensuring adherence to policy and procedures, governance, and compliance requirements + Lead a team of solutions architects, ensuring the… more