- Citigroup (New York, NY)
- The Liquidity Management Services (LMS) Controls and Regulatory Management Head is a senior specialist who provides global oversight to the LMS Risk and Control ... LMS Head ("Business Head") in managing and mitigating operational, compliance and regulatory risks, and executing risk and control responsibilities for the business… more
- MUFG (New York, NY)
- …researching pricing disputes and enhancing the control framework for escalations that would highlight firm exposure. **Key Responsibilities** **Collateral ... - Ensure compliance with internal risk management policies and external regulatory requirements including FINRA 4210. **Client Interaction:** - Communicate margin… more
- Bank of America (New York, NY)
- …Investment Bankers and Global Markets Sales to support the Bank's global regulatory and policy requirements as it relates Client Due Diligence (CDD) documentation ... document engagement, individuals within the team keep abreast of global regulatory change that could influence processes, and identify opportunities that enhance… more
- M&T Bank (Mahwah, NJ)
- …Bankers. Provide coaching and guidance to improve and reduce future problem resolution/ escalations . + Engages with all team members and business partners as ... to applicable compliance/operational risk controls in accordance with Company or regulatory standards and policies. + Promotes an environment that supports diversity… more
- Citigroup (New York, NY)
- …to address root causes which may lead to unintended operational losses or regulatory breaches. TCCORO provides the specialist subject matter experts to challenge ... challenge risk self-assessments and scenario analysis; issue management oversight and escalations . + Provides leadership to the Second Line influence, advisory and… more