- SMBC (Jersey City, NJ)
- …Bank Secrecy Act/Anti Money Laundering/Office of Foreign Assets Control (BSA/AML/ OFAC ), SMBC policies and procedures. The Associate follows established guidelines ... under their VP's remit. Reports to the VP or Director level. Complex transactions escalated to next level of...testing of upgrades to Compliance applications. May include governance, advisory , or QC related tasks. + Ensures compliance with… more
- US Bank (New York, NY)
- …providing the Audit Committee and senior management with independent assurance and advisory services designed to evaluate and improve the effectiveness of risk ... Completing or assisting the Senior Audit Manager and Audit director in developing the risk-based audit plan. Includes identifying...requirements of FINRA, NMLS registration, Reg Z, Reg G, OFAC , the NFA, the FCPA, the Bank Secrecy Act,… more