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The community is fortunate to have excellent schools (in the Quad Cities and surrounding areas), the Niabi Zoo, museums, fine arts, a local festival scene, minor league baseball and hockey, and many seasonal outdoor activities.
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Were 2.5 hours from Chicago and just 55 minutes east of the University of Iowa. The Quad Cities is a culturally diverse community that offers excellent schools, fine arts, museums, a zoo, live music, farmers markets, fine dining and shopping, river boat cruises, semi-professional hockey and baseball, over 20 golf courses, ski resorts, and many more outdoor recreational outdoor activities for the active family.
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Familiarity with regulatory requirements and compliance in equity capital markets. Strong network of relationships with institutional investors, private equity firms, and high-net-worth individuals.
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Responsible for applying the provision of trusts consistent with the documents, applicable statutes and regulations as well as meeting KYC, AML, and other regulatory compliance standards.
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High school diploma or GED; AND eleven (11) years of experience working within a public, private, or non-profit entity providing professional guidance on diversity, equity and inclusion, civil rights laws such as EEO, ADA, and Title VI policies, investigative procedures, implementation and compliance practices, and contract administration.
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The Senior Director, Model Validation for Santander US Compliance models (Transaction Monitoring, Sanctions Screening, Fraud Risk, etc) will be responsible for leading the independent validation of models used by various Compliance groups in conformance with regulatory guidance on model risk SR11-07 and other regulatory requirements around Compliance models.
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This high-profile group works across all of Investment Management as well as with our other internal stakeholders including product, actuarial, treasury, accounting, risk, compliance, and external partners, including our primary asset management subsidiary Barings and the major Wall Street derivative broker/dealer counterparties.
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Work Experience: 10+ years in Model Development and/or Validation of, Compliance, transaction monitoring, Below the Line testing, and Risk Management function at an investment bank or hedge fund.
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Exhibits strong culture of compliance, adherence to policy and Schwab's high standards. Exhibits wealth management and investment products expertise including equities, fixed income, mutual fund and retirement plans; equity compensation plans, stock options and annuities.
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Engage in various BSA operations including AML investigations, SAR filing, CTR filing, customer risk rating, high-risk customer surveillance, enhanced due diligence (EDD) processes, special investigations, and OFAC compliance.
$65,000 - $78,000 a yearFull-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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We have over 200 employed providers and 40 clinic locations throughout the Quad Cities. The Quad-Cities market has also recently been ranked No. 4 among "Big Cities Markets' in the U.S. for doctors to live and work.
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Or take a short drive into Chicago or the quad cities for additional entertainment options. For more than 35 years we’ve helped healthcare professionals embark on journeys, scale mountains, and discover new spaces, places, and faces.
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They are accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively following and adhering to applicable Wells Fargo policies and procedures, appropriately fulfilling risk and compliance obligations, timely and effective escalation and remediation of issues, and making sound risk decisions.
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This role will focus on compliance with applicable regulatory and legal rules and requirements (i.e. SEC-Regulation SCI, CFTC-System Safeguards, etc.) Experience with systems supporting Compliance, Risk, Audit, Privacy, and Management such as ServiceNow, Archer, etc.
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Against an increasingly complex regulatory landscape, we help clients mitigate risk and achieve compliance. 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.
$113,325 - $207,763 a yearFull-timeExpandApply NowActive JobUpdated 1 month ago
equity and inclusion regulatory compliance risk high worth quad cities jobs Company: Wells Fargo in Lahaina, Hawaii
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