- Bank of America (Tampa, FL)
- Credit Officer II - Dealer Financial Services Boston, Massachusetts;Atlanta, Georgia; Tampa, Florida; Providence, Rhode Island; Jacksonville, Florida; ... must be at least 18 years of age.** Acknowledge (https://ghr.wd1.myworkdayjobs.com/Lateral-US/job/Boston/ Credit - Officer - II - Dealer -Financial-Services\_25039486-1) **Job Description:**… more
- Ventura County (Ventura, CA)
- …+ Due Diligence and Credit Analysis - Fundamental knowledge of credit risk assessment, issuer evaluations, and broker/ dealer compliance requirements. + ... Investment Officer /Senior Investment Officer Print (https://www.governmentjobs.com/careers/ventura/jobs/newprint/5071037) Apply...$.69 per hour (Level I), $1.00 per hour (Level II ), or $1.32 per hour (Level III). + Annual… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …include daily risk monitoring across all relevant risk stripes including market, credit , liquidity and operational risks. . Identifies emerging risks and advises on ... of duties . Relevant risk-based regulatory schemes including Basel I and Basel II and current rules under review . Sarbanes Oxley regulations . Software development… more
- MUFG (Irving, TX)
- …Trading business units with focus on the Markets Compliance program. The Compliance Officer will work closely with ACT teammates and various key regional and global ... management and regulatory expectations. Reviews will include assessment of the Swap Dealer program, Volcker Rule program, Market Conduct, Market Access, Desk, Branch… more
- MUFG (New York, NY)
- …Control personnel to determine MSIIs / audit points. Assist the broker dealer entity in correctly Identifying the overall issue owner, deliverables and milestones, ... updates + Assist in identifying data risks in RCSAs across the broker dealer entity (adhoc risk / controls reviews, group self-assessments, and controls testing) +… more