- TD Bank (New York, NY)
- …Description:** **Preferred Qualifications:** We are looking for a Vice President, US Markets Compliance Advisory to join our team in NYC. The ideal candidate ... personnel and relevant control personnel. **Position Requirements** + 5-7+ years of compliance advisory experience. Similar experience with a regulator or law… more
- Bank of America (Charlotte, NC)
- …+ Reports to Global Environmental Executive, accountable to Environmental and Social Business Advisory pillar lead + Member of bank 's Global Environmental Group ... Environmental and Social Risk Advisory Manager Charlotte, North Carolina;Washington, District of Columbia;...New York, New York; Boston, Massachusetts **Job Description:** At Bank of America, we are guided by a common… more
- Huntington National Bank (Columbus, OH)
- …Payments and underlying data/technology trends and guidance, as well as related regulatory and compliance standards. The candidate will demonstrate the ability ... Description The AML Group Manager: Enterprise Payments Advisory , within BSA Operations, is primarily responsible for...to the executive leadership of the BSA/AML and OFAC Compliance program and may conduct risk assessments to support… more
- US Bank (Tempe, AZ)
- …you excel at-all from Day One. **Job Description** Conduct regulatory compliance testing of brokerage, investment advisory , institutional capital markets and ... of applicable experience **Preferred Skills/Experience** + 3+ years of experience in testing/ regulatory compliance activities; + Strong knowledge of laws and… more
- M&T Bank (Wilmington, DE)
- …applicable laws and regulations and/or that serve to help the Company be in compliance with laws and regulations that apply to the business line the position ... + Understand and adhere to the Company's risk and regulatory standards, policies and controls in accordance with the...an environment that supports diversity and reflects the M&T Bank brand. + Maintain M&T internal control standards, including… more
- Citigroup (Tampa, FL)
- The Regulatory Advisory and Transformation legal group is a global team that supports Citi business lines, legal entity management teams, Compliance , and ... implementation and regulatory -driven business change projects. The Regulatory Advisory and Transformation legal group in...regulatory requirements + Experience working in a major bank preferred + Experience in large scale financial … more
- SMBC (New York, NY)
- …, you will: + Coordinate bank , broker-dealer, and swap dealer regulatory Compliance programs across SMBC's Americas Division for all support functions. ... company's culture of compliance . The position is responsible for regulatory compliance across support functions, including coordinating updates to policies,… more
- SMBC (New York, NY)
- …a competitive portfolio of benefits to its employees. **Role Description** The Advisory Compliance team serves as a regulatory advisory function and is ... Skills** Critical Job Knowledge and Core Competencies/Skills: + Extensive Compliance Advisory experience at a broker dealer....organized with project management skills. + 10+ years of regulatory compliance experience at a broker dealer.… more
- Huntington National Bank (Charlotte, NC)
- …Works with relationships of moderate to high complexity. + Knowledgeable on key compliance and regulatory requirements. + Performs other duties as assigned. ... Description Summary: The Private Bank Wealth Advisor IV is a primary client...Degree + At least 10 years of wealth management/financial advisory /sales/relationship management experience in banking, investment management, or insurance… more
- Huntington National Bank (Holland, MI)
- …Works with relationships of moderate to high complexity. + Knowledgeable on key compliance and regulatory requirements. + Performs other duties as assigned. ... Description Summary: The Private Bank Wealth Advisor II is the primary client...Degree + At least 3 years of wealth management/financial advisory /sales/relationship management experience in banking, investment management, or insurance… more
- Scotiabank (New York, NY)
- …of clients with sanctions exposure or that otherwise present sanctions risk to the Bank + Ensuring that all advisory activities and other escalations, such as ... Director, OFAC Advisory **Requisition ID:** 208494 **Salary Range:** 174,700.00 -...relevant review committees and present on sanctions risk to Bank ; + Provide updates on sanctions regulatory … more
- Cherry Bekaert (Louisville, KY)
- …goal, providing our clients with deep knowledge, expertise, and approaches in Regulatory Compliance , Internal Audit, Enterprise Risk Management, Technology Risk ... Place to Work (https://www.cbh.com/about/awards-and-recognition/) , **Cherry Bekaert** delivers innovative advisory , assurance and tax services to our clients. At… more
- TD Bank (Mount Laurel, NJ)
- …line as well as Audit teams covering others risks in that space + Regulatory Compliance Testing and Reporting + Oversee enterprise-wide testing of Financial ... **Line of Business:** Audit **Job Description:** The Audit Director, Financial Crimes, Regulatory and Issue Validation and COE is responsible for the financial… more
- Raymond James Financial, Inc. (FL)
- … topics. **Essential Duties & Responsibilities:** * Oversees elements of the RJ Bank compliance program(s) to ensure regulatory requirements are addressed ... manage aspects of the following RJ Bank 's compliance program activities, including conflicts of interest, regulatory...rapport with business counterparts and colleagues and to provide advisory services on a wide variety of bank… more
- Mizuho Corporate Bank (New York, NY)
- …submitted. + Maintain and update procedure documentations related to new and existing regulatory requirements to ensure firm's compliance . + Keep track of each ... About the Team: Mizuho Americas Finance - Financial Regulatory Reporting is a team responsible for the...Overview Mizuho Financial Group, Inc. is the 15th largest bank in the world as measured by total assets… more
- Mizuho Corporate Bank (New York, NY)
- …production team, ensuring the accurate and timely submission of reports in compliance with regulatory requirements. The successful candidate will possess strong ... Summary The Liquidity Regulatory Reporting is a team responsible for the...Overview Mizuho Financial Group, Inc. is the 15th largest bank in the world as measured by total assets… more
- Mizuho Corporate Bank (New York, NY)
- … Reporting, ensuring the accurate and timely submission of reports in compliance with regulatory requirements. The successful candidate will possess deep ... Summary The Liquidity Regulatory Reporting is a team responsible for the...Overview Mizuho Financial Group, Inc. is the 15th largest bank in the world as measured by total assets… more
- Bank of America (Plano, TX)
- …to identify regulatory changes applicable to area(s) of coverage **Skills:** + Advisory + Regulatory Compliance + Reporting + Risk Management + ... New York; Chicago, Illinois; Plano, Texas **Job Description:** At Bank of America, we are guided by a common...metrics for risk appetite and limits, reporting violations of compliance or regulatory activities + Analyzes and… more
- Bank of America (New York, NY)
- …team work. **Skills:** + Advisory + Monitoring, Surveillance, and Testing + Regulatory Compliance + Reporting + Risk Management + Critical Thinking + ... Exchange Coverage New York, New York **Job Description:** At Bank of America, we are guided by a common...metrics for risk appetite and limits, reporting violations of compliance or regulatory activities + Assists in… more
- Mizuho Corporate Bank (New York, NY)
- …and findings, and maintain and update the PID Interpretation Documents in compliance with regulatory requirements. The successful candidate will possess strong ... Summary: The Liquidity Regulatory Reporting is a team responsible for the...Overview Mizuho Financial Group, Inc. is the 15th largest bank in the world as measured by total assets… more
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