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Prior experience in compliance, product controllers, legal, regulatory, audit or risk management functions in the firm's various businesses, e.g., consumer banking, asset or wealth management and/or global banking and markets businesses.
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Deloitte Risk and Financial Advisory's Financial Services Industry (FSI) Risk, Data and Regulatory professionals help organizations identify the regulatory changes impacting their business and implement effective and efficient processes to manage regulatory, capital, liquidity and interest rate risks, respond to evolving regulatory environments and implement programs, measures, and tools to help clients with a specific focus on risk, data, and regulatory processes.
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Experienced in executive, board, and regulatory level reporting, in addition to managing regulatory expectations within financial services. Oversee and monitor effective compliance programs aligned with current industry best practices, regulatory guidance, and compliance practices, but not limited to fraud risk management, monitoring suspicious transactions, the Customer Identification Program ("CIP"), due diligence compliance and drafting/updating policies and procedures related to BSA/AML/OFAC compliance.
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We will never stop striving for improved diversity, equity, and inclusion because we are successful together when we feel trusted and supported. The automotive markets Holman serves include fleet management and leasing; vehicle fabrication and upfitting; component manufacturing and productivity solutions; powertrain distribution and logistics services; commercial and personal insurance and risk management; and retail automotive sales as one of the largest privately owned dealership groups in the United States.
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QualificationsWhat We’re Looking for in You 8+ years of experience with Bank Secrecy Act (BSA)/AML regulations within the financial services industry, at a financial services regulator (e.g., Federal Reserve, Office of the Comptroller of the Currency, Securities and Exchange Commission, Financial Industry Regulatory Authority, etc.
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3-5 years in the financial services industry at a broker/dealer or regulatory agency (i.e. FINRA, SEC, CFTC), ideally with an emphasis on surveillance with exposure to business, IT, operations, support, and control functions.
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Knowledge of Financial Crimes Compliance functions such as OFAC Sanctions, Anti-Money Laundering, KYC, CDD, EDD and/or Financial Fraud Investigations. Experience with financial crimes risks associated with Transaction Monitoring/ Screening/ Fraud Operations/ SAR Reporting/Identification and Verification of Customers, KYC, CDD and EDD. General Compliance function and process knowledge (Transaction Monitoring/ Screening/ Fraud Operations/ SAR Reporting/Identification and Verification of Customers, KYC, CDD and EDD.
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We strive to design and implement effective compliance and supervisory related programs to protect customers, promote market integrity, and reduce regulatory, financial, operational and reputation risk.
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Support multiple projects using technology and analytical techniques in a fast-paced Qualifications Required Qualifications: 5-7 years of internal audit, front office business control, compliance, or risk management experience in corporate and investment banking (e.g., equity capital markets, debt capital markets, investment banking, corporate banking, leasing.
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Support Sr Stock Plan Administrator with maintenance of company’s equity data using Fidelity Stock Plan. Ensure global equity reporting and compliance with international tax and regulatory requirements, including year-end equity related tax filings.
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Exus is seeking a Regulatory and Compliance Specialist , who will be responsible for the interfacing, oversight and timely completion of all regulatory filings required under the US and Canadian standards for wind and solar generation facilities.
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4+ plus years of internal or industry experience in financial crimes, compliance, risk assessment, reporting, or data governance with a financial services company, consultancy or regulatory agency.
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Work with both Tax Credit Operations Manager and external legal counsel in the preparation of regulatory applications to both the Federal Reserve Bank of NY and NY Department of Financial Services to the extent applicable.
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Together, we are a global leader in Diversity, Equity, and Inclusion (DEI) in emergency management and climate resilience, providing client support through assessments, strategy, data science, education, planning, training, exercises, econometrics, coaching, trauma-centered community engagement, equity audits, capacity building, and effective implementation.
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Working knowledge of investor, fund, and investment lifecycle, specifically related to regulatory and compliance oversight. Experience in the Compliance domain is required - working knowledge of some of the workflows covering Anti-Money Laundering (AML), Transaction Monitoring, Know Your Customer (KYC), Conflicts Checks, Regulatory Reporting, etc.
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equity and inclusion regulatory compliance financial services jobs Title: bilingual teller Company: Wells Fargo in Lahaina, Hawaii
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