- BNP Paribas (Jersey City, NJ)
- …Department, there are six main areas: KYC Compliance, FIU/BLRA/QA, Sanctions, Transaction Monitoring and Optimization, Transaction Monitoring, and Project ... standards and implements processes for identifying, measuring, controlling, monitoring, reporting , and escalating matters pertaining to Sanctions, AML, and KYC.… more
- TD Bank Group (New York, NY)
- …team supports the Trade and Communications Surveillance leads across geographies (US, Canada, EMEA , and APAC), as well as key stakeholders to execute across an ... in financial markets, data governance, trade surveillance systems, and regulatory requirements at a large investment bank/systemically important financial… more
- BNP Paribas (Jersey City, NJ)
- Business Overview: The US Financial Security Transaction Monitoring and Investigation ("TMI") case investigator is responsible for reviewing alerts escalations, ... reporting on potential suspicious activities identified via internal and...a variety of processes, including legal requests (subpoenas), FINCEN regulatory processes, and law enforcement communications. Candidate Success Factors:… more
- Mizuho Corporate Bank (New York, NY)
- Regulatory Reporting Quality Assurance, Associate Quality Assurance Unit: The Quality Assurance Unit is responsible for enhancing the integrity of the bank ... regulatory reporting processes, reporting data...practices; Testing procedures include risk ranking, data analysis/ profiling, transaction testing, control testing and conformance review + Supports… more
- Mizuho Corporate Bank (New York, NY)
- …Unit: The Quality Assurance Unit is responsible for enhancing the integrity of the regulatory reporting processes and reporting issues stem from data quality ... improvement opportunities , implement process, a nd control enhancements for the regulatory reporting activities to keep abreast of the industry standards… more
- JPMorgan Chase (Columbus, OH)
- …committee materials on regulatory exams and compensation matters + Partner on regulatory matters with EMEA Regulatory Affairs, Compliance and Audit + ... Design & Evaluation, Issues & Control Deficiencies and Control Governance & Reporting . Control Management serves as an independent function within Human Resources to… more
- Mizuho Corporate Bank (New York, NY)
- …This role will be expected to perform ongoing testing of the AML Transaction Monitoring, KYC, and Sanctions procedures against regulatory requirements. In ... Responsibilities + Implement, perform, and document QA reviews of AML Transaction Monitoring/KYC/Sanctions cases to determine the effectiveness of control and to… more
- JPMorgan Chase (Tampa, FL)
- The regulatory focus on resiliency and how we react to resiliency events is significant. Global regulators are moving toward the concept of Operational Resilience, ... Lead as an operational member of Incident Management Team reporting to the Business Incident manager in the Tampa...objectives and standards that are aligned to meet all regulatory and controls standards. Including and not limited to… more
- JPMorgan Chase (Brooklyn, NY)
- …years in a Finance organization with exposure to accounting, financial statements, regulatory reporting , and financial products + Strong understanding of ... and skills.** + Experience in Product Control, Financial Control and/or knowledge of Regulatory Reporting + Bachelor's degree in Accounting or Finance preferred,… more
- MUFG (Irving, TX)
- …of and experience in analyzing both Know Your Customer ("KYC") and Transaction Monitoring ("TM") data to identify potential money laundering, terrorist financing, ... and identify (collecting additional information where necessary) AML Risk metrics & reporting information provided by the Management Information and Reporting … more
- TD Bank (New York, NY)
- …team supports the Trade and Communications Surveillance leads across geographies (US, Canada, EMEA , and APAC), as well as key stakeholders to execute across an ... in financial markets, data governance, trade surveillance systems, and regulatory requirements at a large investment bank/systemically important financial… more
- Citigroup (Irving, TX)
- …colleagues use, defending the firm from cyber-attacks, and processing every loan, transaction , trade, and customer request that comes into the firm. Our teams ... organization and oversees Controls, Analytics and Decision Management, Quality Assurance, Regulatory Management, Data and Transformation for Technology, as well as… more
- Citigroup (Tampa, FL)
- …personal behavior, conduct and business practices, and escalating, managing and reporting control issues with transparency. **Qualifications:** + 6-10 years of ... candidate will work with global teams (NAM, APAC & EMEA ). The role will report to the NAM Open...testing in respect of new Collateral Operation functionality and reporting requirements. The role will also include working on… more
- Mizuho Corporate Bank (New York, NY)
- The Compliance function manages compliance and regulatory risk by establishing compliance policies, providing training, conducting compliance reviews, monitoring ... anti-money laundering (AML) and coordinating regulatory examinations and relations. Summary The AML AVP will...monitoring suspicious activities and transactions at Mizuho, ensuring timely reporting to the AML Compliance Manager. This role also… more
- Citigroup (Tampa, FL)
- …Tampa, USA but the successful candidate will work with global teams (NAM, APAC & EMEA ). The role will report to the NAM Open Collateral Operations Manager based in ... implementation & testing in respect of new Collateral Operation functionality and reporting requirements. The role will also include working on client change… more
- Citigroup (Tampa, FL)
- …Execute critical technology initiatives by delivering Anti-Money Laundering (AML) regulatory projects. Ensure the efficient design, development, and implementation ... document, and deliver functionality that both improves productivity and aligns with regulatory guidelines. Work closely with Global Engineering and Product Owners to… more
- TD Bank (New York, NY)
- …will work with the Trade and Communications Surveillance leads across geographies (US, Canada, EMEA , and APAC), as well as key stakeholders to design and deliver an ... timeliness of data used to detect market abuse, financial misconduct, and regulatory violations. The ideal candidate will have deep expertise in financial markets,… more
- MUFG (New York, NY)
- …responsible for supporting in-house developed Syndications Hub for all regions (Americas, EMEA , APAC and Tokyo). This role will have both business-as-usual tasks ... maintenance for both loan and bond deals, data validation, reporting and reconciliations as well as project implementations to...+ Correspond with Syndicated Lending deal teams to validate transaction information + On a monthly basis, verify fee… more
