- Huntington National Bank (Columbus, OH)
- …including implementation of written supervisory procedures, training, testing, information barriers, surveillance and AML compliance with a focus on Investment ... Description The Huntington Capital Markets Enterprise Compliance Risk Director Senior will play a critical...Banking, Public Finance, M&A as well as Sales and Trading activities. + Oversight and Governance of OCC Rules… more
- Mizuho Corporate Bank (New York, NY)
- …clear, actionable technical specifications. Lead the analysis and design of compliance technology solutions, including surveillance , case management, and ... of compliance systems, including case management, regulatory reporting, and surveillance tools. + Regulatory Compliance : Ensure that all compliance… more
- Guidehouse (Richardson, TX)
- …files in regard to Bank Secrecy Act (BSA), Anti-Money Laundering, Market Surveillance (Insider Trading , Market Manipulation) Office of Foreign Asset Controls ... guidelines (eg, BSA, OFAC, FinCEN guidance). + Knowledge of Financial Crimes Compliance functions such as OFAC Sanctions, Anti-Money Laundering, KYC, CDD, EDD and/or… more
- Pilot Company (Houston, TX)
- …on all know your customer ("KYC") requirements. 7. Onboard all external legal trading entities including counterparts in compliance with the current onboarding ... is to support the Pilot Flying J (PFJ) Energy Trading , Marketing and Logistics platform within the Credit and...credit and collateral process management and performance of trade surveillance and credit limit guidance. 1. Complete credit scoring,… more
- S&P Global (New York, NY)
- …of interest by monitoring and placing restrictions on personal securities holding and trading . The Policy is designed to promote compliance with global ... and structural analytics, and client-facing activities for new issue ratings and surveillance of ABS transactions backed by consumer and commercial assets. **The… more
- S&P Global (Englewood, CO)
- …of interest by monitoring and placing restrictions on personal securities holding and trading . The Policy is designed to promote compliance with global ... and structural analytics, and client-facing activities for new issue ratings and surveillance of Non-traditional ABS transactions. **The Impact** : This role blends… more
- S&P Global (Chicago, IL)
- …of interest by monitoring and placing restrictions on personal securities holding and trading . The Policy is designed to promote compliance with global ... structural analytics, and client-facing activities for new issue ratings and surveillance of Non-traditional ABS transactions. **The Impact:** This role blends… more
- S&P Global (New York, NY)
- …of interest by monitoring and placing restrictions on personal securities holding and trading . The Policy is designed to promote compliance with global ... modeling and transaction document analysis in support of new issue ratings and surveillance of CLO transactions. The Associate Director will review documents as it… more
- S&P Global (Englewood, CO)
- …of interest by monitoring and placing restrictions on personal securities holding and trading . The Policy is designed to promote compliance with global ... transactions. + Complete the end-to-end ratings process for new issue and surveillance transactions. + Perform cash flow analysis, synthesize results, and present… more
- BMO Financial Group (New York, NY)
- …combination of education and experience. + Strong experience in equities, electronic trading , and fixed income compliance strongly preferred + Experience with ... The BMO Capital Markets Compliance team is hiring for a CCO of...but are not limited to, fixed income, equities, electronic trading , prime brokerage, and investment banking. The broker-dealer CCO:… more