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As a Loan Originator, you will become part of PNC Mortgage, a specialized subsidiary of PNC, a fullservice mortgage company that originates, acquires, markets ...
The Bank of New York Mellon Corporation - Lake Mary, FL US
Managethe Companys obligations and compliance efforts to establish, maintain and periodically enhance departmental policies and procedures and written supervisory ...
The Bank of New York Mellon Corporation - Lake Mary, FL US
Manages compliance efforts for the Company as they relate to complex regulatory and policy requirements, program and project development. Analyzes existing ...
The Bank of New York Mellon Corporation - Lake Mary, FL US
The associate will be responsible for conducting complex money laundering and fraud investigations, drafting Suspicious Activity Reports, reviewing AML surveillance ...
Purpose: To directly contribute to achievement of organizational goals by providing leadership necessary to ensure sound, ethical financial management and adequate ...
Play a vital role in the customer banking experience at Chase! As part of JPMorgan Chase, a leading global financial services firm, Chase has over 5,100 locations ...
Lender Processing Services, Inc. - Jacksonville, FL US
Role and Responsibilities within LPS: The Chief Compliance Officer ( CCO ) is responsible for the development, implementation and daytoday administration ...
Jacksonville, FL Grade Level : 18E We are delighted that you have chosen to explore the career opportunities available with EverBank! Primary Responsibilities ...
Classification: Full Time; Nonexempt Salary Range: $13.27 17.26 21.25 Position will work directly with 2 Mortgage Loan Officers to facilitate the origination ...
Functions as an origination source for incremental Builder business for the Branch. Primary responsibility is representing the Company in the local community ...
Mercantil Commercebank Investment Services is seeking an experienced Compliance Officer for a temporary position with the possibility of full time hire at the end of the assignment. Some of the job duties are as follows: * Assist in the development, updating and implementation of the firms written supervisory procedures (WSP’s). This also includes helping the Chief Compliance Officer (CCO) advise the firm of updates to the WSP’s and posting updates to the MCSI portal. * Perform transaction review and surveillance with the assistance of the CCO. Including but not limited to best execution, churning/switching, front running, watch/restricted list. * Help with firm correspondence review and approval and if necessary filing of such with FINRA. This includes, advertisements, faxes, emails and instant messages. * Review various firm exception reports and document findings. * Manage WEBCRD/WEDIARD: including U-4’s, continuing education status, opening exam windows, and running reports from system as requested by CCO. * Monitor and track continuing education of the firms registered representatives * Distribute and collect signed firm attestations * Assist with firm compliance trainings * Summarize new rules and regulations * Assist in BSA/AML compliance. This includes reviewing exceptions, conducting the necessary investigations and properly documenting findings. Conducting World Compliance Checks for new accounts and existing accounts. Monitoring FINCEN/OFAC compliance via firm reports. Help with review of high risk KYC’s. Assisting with firm training. * Assist with internal and regulatory audits. * Periodically attend seminars, conferences, webinars to enhance professional knowledge. * Other tasks as may be required the CCO or the Group Compliance Manager.
JOB REQUIREMENTS:
Functional Skills & Knowledge Requirements:
Must be a team player, have the ability to work under pressure, have a professional image and be able to resolve problems and conflicts. Must be able to prioritize work and effectively manage time and have the ability to manage change. Must possess basic business communications skills such as advanced writing, listening and have basic office and mathematics skills, and customer service skills. Possession of professional skills such as report writing, advanced statistics, effective presentation skills, creative skills, budgeting, ethics management and conducting effective meetings and research assessment are required. Previous experience with Lotus Notes, Internet and MS Office Skills, including MS Word Advanced, MS Excel Advanced, MS PowerPoint Advanced, MS Project Level II and MS Visio Level I required
Minimum Education and/or Certifications Requirements: Bachelors degree , Current series 7 and 66. Willingness to take additional exams if needed.
Minimum Work Experience Requirements: 2-5 years experience working with FINRA and state broker dealer compliance and SEC and state investment adviser compliance
Technical and/or Other Essential Knowledge: Basic email and computer skills. Working knowledge of Excel and Powerpoint. Proficient with WEBCRD/WEBIARD, World Compliance and FINCEN. Excellent analyzing, writing and verbal skills. Highly organized and detailed orientated with the ability to meet deadlines
