| Job alert | Jobs 61 - 70 of 304 |
Compliance Coordinator/Associate
Glocap
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Manhattan, NY, 10261
... to Questions and review marketing materials for compliance with governing rules Assist with and oversee AML checks and KYC queries Qualifications BSc/BA in law, finance, business administration or a related field Professional certification (e.g. ... - May 13
Compliance Officer
Guggenheim Partners
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Manhattan, NY, 10007
... This person will join a highly collaborative team responsible for Anti-Money Laundering (AML), Know Your Customer (KYC), Sanctions and bribery/corruption reviews for GPIM. Responsibilities will include conducting beneficial owner and control person ... - May 07
Associate, Compliance - New York
Maybank
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New York, NY
... Upon notification from Group Compliance, as and when they update the “Global Country Risk Rating”, update internal AML /CFT Country Risk matrix within AML Transaction Monitoring system and the CRR template. Assist with managing NY Branch’s OFAC ... - Apr 27
VP IT Audit Infrastructure
Madison-Davis, LLC
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New York, NY
... Role Objectives: Audit, or risk and control experience with common financial services applications, including leasing and lending, banking, trading and settlement, and anti-money laundering (AML) and sanctions screening Examine and evaluate internal ... - Apr 21
Senior Compliance Officer
Global Investment Bank and Broker Dealer
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New York, NY
... Compliance Testing ( Knowledge of FINRA rule 3120 a plus) AML Compliance training Regulatory exams and inquiries Series 7 & 24 Required Seeking 2-5 years of compliance experience at a highly regulated investment bank or broker dealer Bachelors ... - May 17
ISG Management, Financial Crimes & Client Onboarding - Associate
Morgan Stanley
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Manhattan, NY, 10007
... Primary Responsibilities * Execute the end-to-end Enhanced Due Diligence ("EDD") workflow of the EDD program focused on assessing AML risks related to new and existing clients to effectively mitigate potential AML risk exposure in accordance with ... - May 20
Patent Prosection ASSOCIATE/OF Counsel
Job Juncture
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Upper Montclair, NJ, 07043
... to the Patent Bar Why is This a Great Opportunity: Our client: AML 200 Firm with a Great Work Environment Benefits: Competitive compensation Excellent benefits package Collegial working environment Training and mentorship opportunities Permanent - May 16
Client Onboarding Analyst (Temp)
ManpowerGroup
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Manhattan, NY, 10176
... Reporting to the Capital Markets - Client Onboarding Team Leader, the Client Onboarding Analyst is primarily responsible for new customer onboardings with respect to KYC / AML, Dodd-Frank and FATCA regulatory processes, amongst others. **Role ... - May 19
Broker Dealer Compliance Associate Director
Trevose Partners Limited
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Manhattan, NY, 10261
... The candidate will be responsible for advising clients in the compliant practices sector, such as sales, trading, banking, and research, along with maintaining procedures manuals, such as AML Programs, WSPs, etc. Key Responsibilities: Functioning ... - May 15
Client Onboarding Specialist
Jane Street
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New York, NY
... Coordinating the onboarding of institutional clients across multiple internal teams (reporting, settlements, legal, tax, compliance, AML) Navigate across large teams and stakeholders Prepare reports and routine correspondence with exceptional ... - May 15