- Atria Wealth Solutions (Marion, IN)
- …+ Maintain Investment Department website. + Ensure the Investment Department is in compliance with FINRA. + Maintain advertising and complaint files as required by ... the FINRA. + Be prepared for compliance audits by the state or Credit Union Service...& Licenses: + FINRA Series 7, 63/65 (or 66) securities licenses (or better) + Life and Health Insurance… more
- Citigroup (Jacksonville, FL)
- …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
- Citigroup (Jacksonville, FL)
- …services, including consumer banking and credit, corporate and investment banking, securities brokerage, transaction services, and wealth management. As a bank with ... firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying… more
- MUFG (Tampa, FL)
- …UAT testing; (f)Quality Control and Customer Service; (g) US compliance regulation checks/screening/data entry; and (h) acceptances/payments, Reimbursement claims. ... members, setting priorities, time limits and critical task objectives. **Perform compliance checks/screening** for OFAC, EAR, Anti-boycott, BSA AML and JFEL… more
- MUFG (Los Angeles, CA)
- …pertinent to making a decision with little support from management **Policy Compliance :** + Ensure compliance with external regulatory/internal policy and ... is not subject to a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2) or 8a(3) of the Commodity… more
- MUFG (Tampa, FL)
- …of inherent, control, and residual risks. **Primary Responsibilities:** **Regulatory and Compliance ** + Maintain a high degree of knowledge with current and ... controls; and identifying issues resulting from internal and/or external compliance examinations especially in cloud environments. + **Cloud Security:** In-depth… more
- Comerica (Farmington Hills, MI)
- …loans across multiple lines of business within all bank markets, while ensuring compliance with all federal and state laws, regulations, and bank policies. The ... such as real estate, all assets, vehicles, and marketable securities . Position Competencies Successful candidates possess integrity and trustworthiness, strong… more
- DuPont (Parlin, NJ)
- …(PSM) program. This role provides leadership and technical expertise to ensure compliance with the Mechanical Integrity and Quality Assurance requirements of DuPont ... requirements, in a way that decreases risk of PSM Incidents or regulatory non- compliance resulting from MI or QA deficiencies. This individual will function as a… more
- JPMorgan Chase (Columbus, OH)
- …on the US Wealth Management and Product Legal teams and collaborate with Compliance , Risk and Controls functions to ensure comprehensive and effective support. The ... with US Wealth Management and Product Legal teams. + Work closely with Compliance , Risk, and Controls functions. + Manage legal and other risks, advising on… more
- DoorDash (New York, NY)
- …post-closing integration matters + Advise on legal and regulatory issues related to securities law, antitrust, data privacy, and other compliance matters that ... benefits, commuter benefits match, paid time off and paid sick leave in compliance with applicable laws (eg Colorado Healthy Families and Workplaces Act). DoorDash… more