| Resume alert | Resumes 1 - 10 of 130 |
Compliance Officer Aml
Hauppauge, NY
... FINRA licenses currently held: Series 4, 7, 24, 27, 52, 53, 63, 99, SIE PROFESSIONAL EXPERIENCE SALOMON WHITNEY, LLC a/k/a SW Financial Melville, NY November 2019 – May 2023 Chief Compliance Officer, Operations Principal, AML Officer Responsible for ... - Apr 25
... FINRA licenses currently held: Series 4, 7, 24, 27, 52, 53, 63, 99, SIE PROFESSIONAL EXPERIENCE SALOMON WHITNEY, LLC a/k/a SW Financial Melville, NY November 2019 – May 2023 Chief Compliance Officer, Operations Principal, AML Officer Responsible for ... - Apr 25
Team Lead Commercial Bank
Elmont, NY
... EDUCATION ACAMS Certificate of Achievement, AML Foundations June 2019 AccSoft Training Institute Jamaica Certificate in Accounting software, Peachtree and QuickBooks July 2006 University of Technology Jamaica Bachelor in Business Administration, ... - Mar 06
... EDUCATION ACAMS Certificate of Achievement, AML Foundations June 2019 AccSoft Training Institute Jamaica Certificate in Accounting software, Peachtree and QuickBooks July 2006 University of Technology Jamaica Bachelor in Business Administration, ... - Mar 06
Branch Manager Customer Relations
Copiague, NY
... (BSA)/Anti-Money Laundering (AML) policies and procedures and the applicable federal regulations to protect the Bank from being used as a conduit for illegal activity. ● Investigate and monitor financial activity and transactions of personal and ... - Mar 04
... (BSA)/Anti-Money Laundering (AML) policies and procedures and the applicable federal regulations to protect the Bank from being used as a conduit for illegal activity. ● Investigate and monitor financial activity and transactions of personal and ... - Mar 04
Product Management Regulatory Operations
Brookhaven, NY
... by addressing specific risk functions, such as low-priced security transfer approvals • Responsible for AML / Risk reviews and approvals for low priced security transfer exceptions • Review escalated e-communication items to determine resolution vs. ... - Feb 20
... by addressing specific risk functions, such as low-priced security transfer approvals • Responsible for AML / Risk reviews and approvals for low priced security transfer exceptions • Review escalated e-communication items to determine resolution vs. ... - Feb 20
Financial Services Advisory
Garden City, NY
... in order to remediate significant deficiencies Worked with clients to perform testing on compliance with provisions of AML/BSA, FATCA, Fair and Accurate Credit Transactions Act, and Regulation 9 laws Designed and executed tests of key controls; ... - Feb 18
... in order to remediate significant deficiencies Worked with clients to perform testing on compliance with provisions of AML/BSA, FATCA, Fair and Accurate Credit Transactions Act, and Regulation 9 laws Designed and executed tests of key controls; ... - Feb 18
Business Analyst Software Development
Plainview, NY
... • Build visual flow charts using VISIO from requirements gathered • Strong understanding in AML/CTF and sanctions • Working with business partners/stakeholders to elicit and document high level requirements via JAD sessions • Designing and ... - Feb 15
... • Build visual flow charts using VISIO from requirements gathered • Strong understanding in AML/CTF and sanctions • Working with business partners/stakeholders to elicit and document high level requirements via JAD sessions • Designing and ... - Feb 15
Assistant Manager Customer Service
Farmingdale, NY, 11735
... Monitored branch activities for compliance with BSA and AML, reporting issues to Loss Prevention Department. Conducted monthly meetings with staff to review performance, discuss challenges, and provide support. Planned and completed group projects, ... - Feb 03
... Monitored branch activities for compliance with BSA and AML, reporting issues to Loss Prevention Department. Conducted monthly meetings with staff to review performance, discuss challenges, and provide support. Planned and completed group projects, ... - Feb 03
Client Service Family Office
Huntington Station, NY
... • Prepare, review and submit Company ADV • Prepare review and submit 13H and 13F • Conduct AML and KYC due diligence. • Conduct trade surveillance for client and employee accounts. • Review and update the employee handbook to ensure all company ... - Jan 31
... • Prepare, review and submit Company ADV • Prepare review and submit 13H and 13F • Conduct AML and KYC due diligence. • Conduct trade surveillance for client and employee accounts. • Review and update the employee handbook to ensure all company ... - Jan 31
Relationship Manager Business Development
Huntington Station, NY
... Coordinate responses to RFPs, RFIs, SAR, AML, KYC, SEC reporting. Professional Experience BNY Mellon, New York, NY Operations Relationship Manager – Corporate Trust 1996-2007 Mortgage-Backed Securities Relationship Manager within the Corporate Trust ... - Jan 25
... Coordinate responses to RFPs, RFIs, SAR, AML, KYC, SEC reporting. Professional Experience BNY Mellon, New York, NY Operations Relationship Manager – Corporate Trust 1996-2007 Mortgage-Backed Securities Relationship Manager within the Corporate Trust ... - Jan 25
Underwriting Operations Team Manager
Uniondale, NY
... Carried out management responsibilities in accordance with Chase policies, compliance, KYC and AML and applicable state laws for the team of underwriters including training, coaching, supervising, motivating, planning, assigning and directing work; ... - Jan 15
... Carried out management responsibilities in accordance with Chase policies, compliance, KYC and AML and applicable state laws for the team of underwriters including training, coaching, supervising, motivating, planning, assigning and directing work; ... - Jan 15