- Vanguard (Malvern, PA)
- …readouts to Senior Leaders across IMG and other key partners (eg Legal and Compliance ) on the effectiveness of the pre- trade controls program. + Monitor ... buy- and sell-side trading to banking risk to fund compliance to law. We work directly with IMG to...technology alongside our business partners in Portfolio Review, Legal, Compliance , Global Risk & Security, Finance, IT and more.… more
- MUFG (Tempe, AZ)
- …c) no transaction is processed without proper authorization. + Monitor changes to any Compliance , Legal or Trade related programs such as OFAC, JMOF, BSA/AML, ... to: 1) OFAC, Japanese Foreign Exchange Law (JMOF), BSA/AML, and various other Compliance related matters as they pertain to the business conducted by the Money… more
- Amcor (Evansville, IN)
- …Amcor relationship banks where appropriate and beneficial for each Business Group. ** Compliance :** + Coordinate with internal audit, banks and local finance teams to ... ensure all SOX compliance and treasury compliance tasks are delivered...Management** : + Perform the back-office function for FX trade processing. **Project Participation:** + As required, lead regional… more
- Citigroup (Miami, FL)
- …service and problem resolution + Ensure adherence to all internal policies and compliance to legal and regulatory requirements + Process all client transactions and ... investment products. Ensure transactions are completed within audit and compliance standards as well as timely execution. + Be...information, quotes and valuations to client and execute all trade requests. + Keep informed and current on all… more
- T. Rowe Price (Baltimore, MD)
- …trustees, administrative agents and service providers to resolve all trade settlement, interest and position discrepancies. Works under general supervision ... that activities are accurate and compliant. Identifies quality, accuracy, or compliance deficiencies and corrects. Guides less experienced peers and support staff… more
- City National Bank (Los Angeles, CA)
- …including client/deposit servicing, contact center operations, payments processing, and trade and lending operations, while identifying and mitigating risk ... & Trading * Maintain and manage daily tasks including but not limited to trade entries, management control reports * Partner with Front Office to meet business… more
- NANA Regional Corporation (Suffolk, VA)
- …development of EH&S programs and projects. Ensures that the company maintains compliance with all applicable Federal, State, and local regulations. Promotes a total ... representative as required. Safety walks of the work site(s) ensure company compliance with environmental, health and safety hazards. + Conducts daily inspections of… more
- SMBC (Jersey City, NJ)
- …Group, which is one of the three largest banking groups in Japan. SMFG's shares trade on the Tokyo, Nagoya, and New York (NYSE: SMFG) stock exchanges. In the ... Governance Program partners with business functions to provide support in the compliance with established RMDAD policies, procedures and standards as well as drives… more
- American Express (New York, NY)
- …you make an impact in this role?** + Responsible for supervising daily Trade Support functions for treasury products including managing life cycle events - ... report, and provide market commentary + Ensure controls & compliance with prevailing policies & procedures such as SOX,...Institutions a plus + Experience managing and analyzing data, trade details, and P&L attributes + Strong analytical skills,… more
- SMBC (New York, NY)
- …Group, which is one of the three largest banking groups in Japan. SMFG's shares trade on the Tokyo, Nagoya, and New York (NYSE: SMFG) stock exchanges. In the ... Capital Solutions, ABS, CLOs), Sales and Trading (Fixed Income), Trade Finance, Structured Financing (including Subscription Financing and Asset-based lending),… more