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Current, continuous experience in the state executive branch that includes 18 months of full-time work as a Probation/Parole Officer 1. Prepares and presents accurate written and oral reports on clients for the courts, parole board, administrative hearings, in-house staffing, and outside agencies in compliance with established deadlines.
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The Senior Examiner conduct audits of branch offices to determine compliance with FINRA, SEC and State regulatory requirements, as well as firm policies and procedures. Minimum of five (2) years of related experience in auditing, examining, broker-dealer operations and/or securities/advisory compliance.
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Supports the Branch Manager with all aspects of branch operations, including loss control, compliance, and audit standards Required qualifications, capabilities, and skills. As a Lead Associate - Operations in Branch Banking, you support the Branch Manager and Associates to ensure customer financial transactions are completed accurately and efficiently, while complying with all policies, procedures, and regulatory banking requirements.
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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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Knowledge of relevant regulations and compliance standards specifically with BSA, SARS, CTR’s and SOX is a plus! (Branch managers and CSR’s). We are working with a local bank that is under $500 million in assets and looking to fill the role of Cashier / Deposit Operations Specialist.
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Must be an already established loan officer within the Waterloo/Cedar Falls market Excellent customer service skills Detailed oriented Proven ability to handle other assignments and effectively prioritize and manage workload RESPONSIBILITIES: Originates, underwrites, and closes all forms of commercial/small business loans, with accuracy and adhering to regulatory compliance, and bank policy.
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There is emphasis on proactive monitoring, governance, risk identification and escalation, as well as making sound risk decisions commensurate with the business unit's risk appetite and all risk and compliance program requirements.
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Your continued employment in this position would be contingent upon compliance with Truth in Lending Act/Dodd Frank Loan Originator requirements. As a Relationship Banker in Branch Banking, you will take a lead role in delivering an outstanding experience to Chase customers.
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Wells Fargo is seeking a Teller in our Consumer, Small & Business Banking division, as a part of our National Branch Network. Employees support our focus on building strong customer relationships balanced with a strong risk mitigating and compliance-driven culture which firmly establishes those disciplines as critical to the success of our customers and company.
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Oversee all safety matters, including audits, safety training, OSHA compliance, DOT regulations and drug and alcohol testing. Manage overall branch operations to ensure safety, productivity, customer service and profitability.
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This role provides information to all other branch & company program managers to assist them in meeting the regulatory, permit conditions, & H&S requirements for their areas of responsibility, and to ensure appropriate management systems are implemented to ensure total compliance with all regulatory/ permit conditions.
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Supports the Branch Manager with all aspects of branch operations, including loss control, compliance, and audit standards. Some College level or military equivalent or 2+ years of branch banking experience.
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Works effectively with staff employees to ensure compliance with dress code, EHS & QA requirements, customer service requirements and SOP's, advising Manager or Supervisor of any issues or problems as they arise.
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Youll also ensure the branch meets all regulatory compliance standards, complies with CRA outreach programs, and demonstrates strong and visible support for the local community. Complete knowledge of sales and branch banking services including deposits, cash management, loans, and other income-generating products.
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Branch Logistics Coordinator - Non CDL. + Ensures staff compliance with all applicable regulatory requirements including providing documents for the driver qualification file and abiding by hours of service, daily log, hazardous materials (placarding, training and shipping papers) and vehicle inspection and maintenance regulations.
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branch compliance jobs in Clive, IA
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