| Resume alert | Resumes 51 - 60 of 81 |
Sales Financial Advisor
San Francisco, CA
... Strong expertise in stock exchange floor practices, back office procedures, compliance, and AML regulations to ensure a competitive environment that maintains a level playing field and adheres to industry standards. Highly accomplished in ... - 2015 Jun 18
... Strong expertise in stock exchange floor practices, back office procedures, compliance, and AML regulations to ensure a competitive environment that maintains a level playing field and adheres to industry standards. Highly accomplished in ... - 2015 Jun 18
Customer Service Analyst
Hayward, CA
... Investigated, escalated red flag alerts for possible BSA/AML/OFAC compliance violations. Conducted due diligence reviews on (OFAC) sanctions alerts, escalating accounts for holds and closures. Researched accounts for TOS violations (terms of service ... - 2015 Jun 10
... Investigated, escalated red flag alerts for possible BSA/AML/OFAC compliance violations. Conducted due diligence reviews on (OFAC) sanctions alerts, escalating accounts for holds and closures. Researched accounts for TOS violations (terms of service ... - 2015 Jun 10
Insurance Office
San Francisco, CA
... through bankruptcy into being a publicly traded company • Interview and hire potential entry level employees • Perform OFAC and AML checks on potential investors InterMerchant Securities January, 2008-September, 2010 Vice President of Business ... - 2015 May 22
... through bankruptcy into being a publicly traded company • Interview and hire potential entry level employees • Perform OFAC and AML checks on potential investors InterMerchant Securities January, 2008-September, 2010 Vice President of Business ... - 2015 May 22
Sales Manager
San Francisco, CA
... • SEC Knowledge • NYSE Experience • FINRA Rules & Regulations • Market Surveillance • Experienced Regulator • AML Investigations • Fraud Investigations • Broker Dealer Compliance • Equities Surveillance • PROFESSIONAL EXPERIENCE JPMorgan Chase & Co. ... - 2015 May 19
... • SEC Knowledge • NYSE Experience • FINRA Rules & Regulations • Market Surveillance • Experienced Regulator • AML Investigations • Fraud Investigations • Broker Dealer Compliance • Equities Surveillance • PROFESSIONAL EXPERIENCE JPMorgan Chase & Co. ... - 2015 May 19
Manager Management
San Francisco, CA
... AML, FCPA, UKBA, FATCA; Building Relationship, Team Building, Leadership; Train the Trainer to Train (TTT); Taking Action for Continuous Improvement (TACI). Certification were granted. LANGUAGUES English and Vietnamese BAR ADMISSION Attorney at law ... - 2015 May 18
... AML, FCPA, UKBA, FATCA; Building Relationship, Team Building, Leadership; Train the Trainer to Train (TTT); Taking Action for Continuous Improvement (TACI). Certification were granted. LANGUAGUES English and Vietnamese BAR ADMISSION Attorney at law ... - 2015 May 18
Management Sales Manager
San Francisco, CA
... Knowledge of laws and regulations related to AML/BSA . Ability to identify red flags associated with fraud and non-compliance issues . Self-motivated, Team player, Strong communication, Critical thinking and interpersonal skills . Proficient in ... - 2015 May 17
... Knowledge of laws and regulations related to AML/BSA . Ability to identify red flags associated with fraud and non-compliance issues . Self-motivated, Team player, Strong communication, Critical thinking and interpersonal skills . Proficient in ... - 2015 May 17
Project Manager Quality Control
San Francisco, CA
William Amzallag 516-***-**** acpos6@r.postjobfree.com AML/BSA/KYC Consultant USA Senior Consultant with 27 years of experience in Quality Control, Trust Operations, Corporate Actions, Dividend Reconciliation, Custody, Non Custody, Unclaimed ... - 2015 May 14
William Amzallag 516-***-**** acpos6@r.postjobfree.com AML/BSA/KYC Consultant USA Senior Consultant with 27 years of experience in Quality Control, Trust Operations, Corporate Actions, Dividend Reconciliation, Custody, Non Custody, Unclaimed ... - 2015 May 14
Securities Counsel
San Francisco, CA
... manage all aspects of litigation, including extensive discovery and comprehensive motion practice Common case topics include: 10b-5, structured products, private placements, AML, sales practice, supervision Organized national sweeps and targeted ... - 2015 May 13
... manage all aspects of litigation, including extensive discovery and comprehensive motion practice Common case topics include: 10b-5, structured products, private placements, AML, sales practice, supervision Organized national sweeps and targeted ... - 2015 May 13
Office Staff Manager
San Francisco, CA
... Evaluate suspicious activity reports and prepare AML violations to legal departments. Prepare investigation reports on all possible AML violations. Review AML reports every morning in compliance with Nationwide Bank guidelines. 5th/3rd Bank 1/13- 10 ... - 2015 Apr 20
... Evaluate suspicious activity reports and prepare AML violations to legal departments. Prepare investigation reports on all possible AML violations. Review AML reports every morning in compliance with Nationwide Bank guidelines. 5th/3rd Bank 1/13- 10 ... - 2015 Apr 20
Account Executive Insurance
San Francisco, CA
... • Knowledge of AML regulations regarding mortgage credit, allowing customer open accounts to due diligence procedures • Ensure that institutions are not aiding in money laundering activities. • Analyze customer data and detect suspicious tranctions ... - 2015 Jan 11
... • Knowledge of AML regulations regarding mortgage credit, allowing customer open accounts to due diligence procedures • Ensure that institutions are not aiding in money laundering activities. • Analyze customer data and detect suspicious tranctions ... - 2015 Jan 11