- UMB Bank (Kansas City, MO)
- …activity. This team oversees the bank 's compliance with requirements set forth in the Bank Secrecy Act (BSA) and the USA Patriot Act (USAPA) as well as ... The Anti-Money Laundering Group protects the bank from being exploited for laundering money or...AML Analyst II, you will be dedicated to our Mutual Funds division and responsible for identifying… more
- US Bank (Milwaukee, WI)
- …CPA certified or candidate - Eight or more years of experience in Mutual Fund Administration or related field, ie, public accounting Preferred Skills/Experience ... - Thorough knowledge of operational issues involving Mutual Funds - Advanced knowledge and understanding...Z, Reg G, OFAC, the NFA, the FCPA, the Bank Secrecy Act, the SAFE Act, and/or… more
- Oriental Bank (San Juan, PR)
- The Analyst, Bank Secrecy (Monitoring) evaluates sensitive information concerning customer account activity including transactional data to prevent and assess if ... Juan, PR. MAJOR DUTIES & RESPONSABILITIES: + Responsible for monitoring the bank 's customers for suspicious transactions by conducting reviews using an alert system… more
- US Bank (Milwaukee, WI)
- …Day One. **Job Description** Supports the day-to-day financial and compliance operations of a mutual fund , exchange-traded fund , closed-end fund and/or ... legal, regulatory and accounting principles which directly affect the mutual fund industry and their clients -...Z, Reg G, OFAC, the NFA, the FCPA, the Bank Secrecy Act, the SAFE Act, and/or… more
- US Bank (Tempe, AZ)
- …Works as part of a team responsible to maintain the general ledger and records of mutual funds of varying complexity and producing end of day net asset value ... collaborating on compliance, audit and financials, while ensuring all Fund Accounting functions are in compliance with SEC regulations...Z, Reg G, OFAC, the NFA, the FCPA, the Bank Secrecy Act, the SAFE Act, and/or… more
- US Bank (Boston, MA)
- …dynamic environment, clients expect to be serviced by professionals who understand the mutual fund industry and their client's expectations and strategic goals. ... - Eight to 12 years of experience in a mutual fund related or brokerage industry position...Z, Reg G, OFAC, the NFA, the FCPA, the Bank Secrecy Act, the SAFE Act, and/or… more
- US Bank (Milwaukee, WI)
- …balancing and reporting all shareholder cash & share activity for a series of mutual funds to fund accountants, portfolio managers, investment advisors and ... act as liaison and provide service to over 200 mutual fund /Alternative Investment companies and their shareholders....Z, Reg G, OFAC, the NFA, the FCPA, the Bank Secrecy Act, the SAFE Act, and/or… more
- Umpqua Bank (Tacoma, WA)
- …+ Service clients through researching and resolving problems. + Provide quote information and mutual fund trade entry. Equity trades can be entered by Series 7 ... licensed employees. Accept unsolicited mutual fund and money market investment direction...of Bank 's written policies and procedures regarding Bank Secrecy Act, Regulation CC, Regulation E,… more
- US Bank (Boston, MA)
- …understanding of syndicated bank loans, fixed income securities, securitization, trading or mutual funds - Ability to identify and resolve exceptions and to ... At US Bank , we're on a journey to do our...Z, Reg G, OFAC, the NFA, the FCPA, the Bank Secrecy Act, the SAFE Act, and/or...OFAC, the NFA, the FCPA, the Bank Secrecy Act, the SAFE Act, and/or federal guidelines applicable… more
- US Bank (Minneapolis, MN)
- …foreign and/or domestic debt and equity securities, derivatives, foreign currency, and mutual funds . Researches failed trades to ensure timely delivery or ... At US Bank , we're on a journey to do our...Z, Reg G, OFAC, the NFA, the FCPA, the Bank Secrecy Act, the SAFE Act, and/or...OFAC, the NFA, the FCPA, the Bank Secrecy Act, the SAFE Act, and/or federal guidelines applicable… more
- City National Bank (Jersey City, NJ)
- …audits in corporate, employee benefit, and personal trust relationships, propriety mutual funds , investment management, broker/dealer and security sales and ... policies and procedures as well as all regulatory requirements (eg Bank Secrecy Act, Know Your Client, Community Reinvestment Act, Fair Lending Practices, Code… more
- Navy Federal Credit Union (Honolulu, HI)
- …client investment consultations and servicing of investment products, stocks, bonds, annuities, mutual funds , managed accounts, and related securities + Performs ... within the salary range, based on your experience, location and market position Bank Secrecy Act: Remains cognizant of and adheres to Navy Federal policies and… more