- US Bank (New York, NY)
- …related field + FINRA licenses 7, 24, and 63 required; Series 14 (Compliance Officer Exam ) recommended + Knowledge and experience with various types of ... growth and service delivery + Building strong partnerships with senior leaders across the enterprise + Delivering an excellent...be subject to the requirements of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA,… more
- Ankura (New York, NY)
- …internal controls, and systems processes; + Prepare compliance reports for Compliance Officer , Senior Management, and/or Board; + Assist clients with ... + Draft written compliance programs for AML, consumer compliance ( Reg E, UDAAP, GLBA), fraud, sanctions, etc. including risk... exam preparation; + Draft remediation plans for exam /audit findings and recommendations for Senior Director… more
- M&T Bank (New York, NY)
- **Overview:** This Senior Vice President level role provides guidance on complex compliance risk management activities within the Institutional Client Services ... other departments within the enterprise at-large. **Primary Responsibilities:** + Consult with senior managers of business units on complex compliance matters. + May… more