- Morgan Stanley (New York, NY)
- …institution, law firm, or government/regulatory body > Detailed understanding of the laws, rules , and regulations pertaining to AML as well as sanctions and ... governance, oversight, and execution of the Firm's Anti-Money Laundering ( AML ), Sanctions, Anti-Corruption and Government and Political Activities Compliance… more
- Fifth Third Bank, NA (Cincinnati, OH)
- …career in banking at Fifth Third Bank. GENERAL FUNCTION: The Financial Crimes (FC) Officer I must have a high level of appropriate expertise within financial crimes ... risk management and related regulations, guidance, and best practice. The FC Officer I leads in the identification and assessment of risks where appropriate (BSA/… more
- MUFG (New York, NY)
- …(KYC) due diligence procedures + Understanding of Final CDD Rule + Understanding of rules involving BSA/ AML , OFAC & Sanctions + Exhibit culture of strong risk ... clients, Relationship Managers, Product Groups, Onboarding Unit, Quality Control, AML Advisory and other stakeholders + Partner with Relationship Managers/Product… more
- SMBC (New York, NY)
- …out of daily execution of trade finance business including but not limited to Sanction/ AML Risk, Third Party Risk (eg System Vender Risk), Operational Risks, Code of ... of the above mentioned various risks. **Role Objectives: Delivery** Manage Sanction & AML risk matters related to the daily execution of trade finance deals booked… more
- US Bank (Columbus, OH)
- …participating in Trust Board Meetings; + Acting as the Trust's anti-money laundering ( AML ) Officer for their respective Trust + Managing the Trust's regulatory ... services businesses in the country. Specifically, the role will serve as Chief Compliance Officer for a closed-end fund multiple trust series (Trust) and as a member… more
- Citigroup (New York, NY)
- Serves as a senior compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for establishing internal strategies, policies, procedures, ... + Identify and escalate risks to the Chief AB&C Officer . + Provide guidance to businesses and functions on...clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying sound ethical… more
- Scotiabank (New York, NY)
- Manager, CIB & Research Compliance Officer **Requisition ID:** 193847 **Salary Range:** 85,700.00 - 159,100.00 _Please note that the Salary Range shown is a ... Collateralized Loan Obligations (CLO). The CIB and Research Compliance Officer assists in the provision of advice on compliance...provision of advice related to the application of laws, rules , and regulations, as well as internal policies and… more
- Scotiabank (New York, NY)
- Manager, Markets Compliance Officer **Requisition ID:** 198261 **Salary Range:** 85,700.00 - 159,100.00 _Please note that the Salary Range shown is a guideline only. ... for US Treasury Auctions. + Assist with advice on the application of laws, rules , and regulations for Equities and FICC securities trading and sales businesses, as… more
- Scotiabank (New York, NY)
- Senior Manager, Markets Compliance Officer **Requisition ID:** 193881 **Salary Range:** 110,700.00 - 211,800.00 _Please note that the Salary Range shown is a ... securities trading and sales businesses by advising on the application of laws, rules , and regulations, as well as internal policies and procedures, to the… more
- Banc of California (Santa Ana, CA)
- …projects assigned by the Talent Development Manager or Chief Human Resources Officer . + Support Talent Development with the developing of training communications and ... The employee shall comply with occupational safety and health standards and all rules , regulations and orders issued pursuant to the OSHA Act of 1970, which… more
- Citigroup (New York, NY)
- …of innovation and a unique global trade solution network. The Business Risk Officer for North America cluster is a senior specialist who provides global oversight ... Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying sound ethical judgment regarding… more
- Banc of California (Santa Ana, CA)
- …The employee shall comply with occupational safety and health standards and all rules , regulations and orders issued pursuant to the OSHA Act of 1970, which ... in conjunction with the USA PATRIOT Act, Anti-Money Laundering ( AML ) and Customer Information Program (CIP), Right to Financial...affirmative action. + Demonstrate knowledge of, adherence to ECCHO Rules , NACHA Rules . + Must demonstrate a… more
- Banc of California (Santa Ana, CA)
- …The employee shall comply with occupational safety and health standards and all rules , regulations and orders issued pursuant to the OSHA Act of 1970, which ... Secrecy Act (BSA) in conjunction with the USA PATRIOT Act, Anti-Money Laundering ( AML ) and Customer Information Program (CIP), Right to Financial Privacy Act (RFPA,… more
- Morgan Stanley (New York, NY)
- …Laundering, Legal or Compliance role * Detailed understanding of the laws, rules , and regulations pertaining to Anti-Money Laundering ( AML ), Economic Sanctions, ... governance, oversight, and execution of the Firm's Anti-Money Laundering ( AML ), Sanctions, Anti-Corruption and Government and Political Activities Compliance… more
- Federal Deposit Insurance Corporation (San Francisco, CA)
- …office, and Legal Division, and provides guidance to bank personnel regarding BSA/ AML matters including FDIC, US Treasury and BSA regulations and guidelines. Keeps ... staff-prepared Civil Money Penalties (CMP) referrals, reports of investigations where BSA/ AML issues were identified and applications submitted by banks. Prepares… more
- SMBC (Tallahassee, FL)
- …and affiliated parties related alerts. + Supports completion of requests from BSA/ AML /OFAC Compliance Officer in relation to conditional approvals or other ... requirements Bank Secrecy Act/Anti Money Laundering/Office of Foreign Assets Control (BSA/ AML /OFAC), SMBC policies and procedures. Under the direction of the Head… more
- SMBC (Sacramento, CA)
- …and affiliated parties related alerts. + Ensures completion of requests from BSA/ AML /OFAC Compliance Officer in relation to conditional approvals or other ... Bank Secrecy Act/Anti Money Laundering/Office of Foreign Assets Control (BSA/ AML /OFAC), SMBC policies and procedures. The Sanctions Analyst follows established… more
- SMBC (Sacramento, CA)
- …Cash Management Services, International Services **GENERAL SUMMARY** Reporting to the BSA Officer , the **Director, Head of FCC Model and Data Governance** will be ... responsible for supporting the design, implementation, and enhancements of BSA/ AML tools and systems, including transactions monitoring, sanctions screening systems,… more
- SMBC (Jersey City, NJ)
- …and affiliated parties related alerts. + Ensures completion of requests from BSA/ AML /OFAC Compliance Officer in relation to conditional approvals or other ... Bank Secrecy Act/Anti Money Laundering/Office of Foreign Assets Control (BSA/ AML /OFAC), SMBC policies and procedures. The VP follows established guidelines… more
- BMO Financial Group (Naperville, IL)
- …first line of defense (1st LOD) programs (eg, operational risk, AML , compliance, regulatory, etc.), including overseeing business operations within the jurisdiction ... first line employees, and second & third line functions to ensure Compliance, AML or operational risks are identified, mitigated, monitored and reported on an… more