- M&T Bank (Clanton, AL)
- …- + BSA/ AML & OFAC: Laws and rules that apply to BSA/ AML / Sanctions program including Customer Due Diligence, suspicious activity, OFAC and regulatory ... throughout the enterprise for their assigned area of responsibility. The Compliance Advisor will help develop, implement, and execute strategy of the workflow and… more
- Mizuho Corporate Bank (New York, NY)
- …& 151 Prime Broker Agreements). + Ability to understand an Investment Advisor 's organization structure, as well as, when full KYC Onboarding is required versus ... codes (for example SIC/Sector Codes) + Familiarity with Investment Advisor Public Disclosure and Edgar sites, along with necessary...( ie : RIA, QIB, 2111, AML Wolfsberg Questionnaire, Accelerated Onboarding Sheets… more