- Raymond James Financial, Inc. (St. Petersburg, FL)
- …of sanctions trends, emerging issues and necessary enhancements to the Sanctions Compliance Program. + Identifies and escalates material risks and instances ... of Sanctions regulatory requirements. + Financial markets, products, financial advisory function and investment process. + Sanctions -related controls +… more
- SMBC (Jersey City, NJ)
- …its employees. **Role Description** Within the Financial Crimes Prevention Unit, ("FCPU"), the Sanctions Compliance Team ("SCT") manages sanctions risk from ... under their VP's remit. Reports to the VP or Director level. Complex transactions escalated to next level of...of department processes; and oversight, testing of upgrades to Compliance applications. May include governance, advisory , or… more
- Mizuho Corporate Bank (New York, NY)
- Join Mizuho as Director of Compliance Technology Modernization! In this role, you will be at the helm of a transformative journey-redefining how compliance ... platforms: DataBricks and Snowflake preferred- Deep understanding of financial services compliance requirements (AML, sanctions screening, KYC)- Strong project… more
- JPMorgan Chase (Brooklyn, NY)
- …the status quo and striving to be best-in-class. As a Global Financial Crime Compliance Governance Director within the Compliance , Conduct and Operational ... Bring your expertise to JPMorgan Chase. As part of Risk Management and Compliance , you are at the center of keeping JPMorgan Chase strong and resilient. You help the… more
- Aegon Asset Management (Denver, CO)
- …understanding of Investment Company and Adviser Acts, Mutual Fund, ETF and advisory account compliance regulations, programs, and best practices + Significant ... Job Family Regulatory Compliance About Us At Transamerica, hard work, innovative...guidance and advice. + Oversee and administer anti-money laundering, sanctions , and anti-fraud programs for TAM, the registered investment… more
- Ankura (Atlanta, GA)
- …is a team of excellence founded on innovation and growth. The Model Validation Director is expected to lead and execute model validation testing processes on systems ... aid in the independent validation of financial crimes detection and sanctions screening models. Testing could include conceptual design review, control operating… more
- Scotiabank (New York, NY)
- …of day-to-day business controls to meet obligations with respect to operational, compliance , AML/ATF/ sanctions and conduct risk. Champion a high performance ... Associate Director , Head of Latin America Liability Management **Requisition...advise clients appropriately. Responsible for the structuring, documentation preparation advisory , marketing, and execution of originated transactions. Assist in… more
- Scotiabank (Dallas, TX)
- …of day-to-day business controls to meet obligations with respect to operational, compliance , AML/ATF/ sanctions and conduct risk. + Champions a customer focused ... Director , US Deputy CISO **Requisition ID:** 244515 **Salary...evolving business practices. Ensures all activities conducted are in compliance with governing regulations, internal policies and procedures. **What… more
- Scotiabank (Houston, TX)
- …and effectiveness of business controls to meet obligations with respect to operational, compliance , AML/ sanctions , and conduct risk. **What You'll Bring** * JD ... Associate Director , Legal Counsel **Requisition ID:** 245442 **Salary Range:**...infrastructure finance, leveraged and acquisition finance, and M&A financial advisory . 2. Provides secondary support to Scotiabank's trade finance… more
- TD Bank (New York, NY)
- …and functions on development, maintenance, and implementation of all aspects of AML/ATF/ Sanctions /ABAC compliance programs in line with the Bank's risk appetite ... 7+ years experience **Customer Accountabilities:** + Provides expert/specialized regulatory compliance and prudential risk management guidance on AML/ATF/ Sanctions… more
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