- SMBC (New York, NY)
- …supports the CPAD Bank Advisory team in building and maintaining a bank regulatory compliance program to help ensure compliance with applicable ... of US Compliance verticals to build a bank regulatory compliance program covering...which the areas/products are subject. **Role Objectives** + Support Bank Advisory Compliance (BAC) team… more
- TD Bank (New York, NY)
- …**Job Description:** **Preferred Qualifications:** We are looking for a Director, US Markets Compliance Advisory to join our team in NYC. The ideal candidate ... Compliance team in a manner consistent with the Bank 's risk culture and the relevant risk appetite statement...+ 7-10 years related experience, ideally 10+ years of compliance advisory experience. Similar experience with a… more
- TD Bank (New York, NY)
- …Description:** **Preferred Qualifications:** We are looking for a Vice President, Municipal Securities Compliance Advisory to join our team in New York. The ... ideal candidate must have compliance advisory experience in Municipal Securities business...Firms build out and ongoing support of the Firms Regulatory Compliance Management Framework including Rules mapping,… more
- 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
- TD Bank (New York, NY)
- …details for this role **Job Description:** **Preferred Qualifications:** Candidate must have compliance advisory experience in Research business lines and will ... + Support the Firms build out and ongoing support of the Firms Regulatory Compliance Management Framework including Rules mapping, control mapping and ongoing… more
- TD Bank (New York, NY)
- … regulatory changes, and escalations. The ideal candidate will have sanctions regulatory and compliance knowledge and experience as well as a functional ... team of professionals who provides oversight, expert policy / regulatory guidance and advisory services and/or a...proactive strategies, tactics, policies and programs to effectively manage regulatory / compliance issues + Acts as… more
- Deloitte (New York, NY)
- Deloitte Risk and Financial Advisory Risk, Data and Regulatory Liquidity - Manager Deloitte Risk and Financial Advisory 's Financial Services Industry (FSI) ... III LCR and NSFR, FR 2052a, SR 10-1 Interagency Advisory on Interest Rate Risk, BCBS 368 - Interest...for liquidity risks, including enhancements related to the changing regulatory environment and compliance with regulatory… more
- SMBC (New York, NY)
- …individual will be responsible for bank , broker-dealer and swap dealer regulatory compliance across support functions. The individual will be responsible for ... + Coordinate bank , broker-dealer, and swap dealer regulatory Compliance programs across SMBC's Americas Division...Division for all support functions. + Oversee and provide compliance advisory coverage and guidance to all… 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
- Mizuho Corporate Bank (New York, NY)
- Join the Mizuho team as the Regulatory & Compliance Integration Lead! In this role you will support our organization's growth and technological advancement. You ... current technology trends and future directions - Familiarity with compliance technology and regulatory requirements - Experience...Overview Mizuho Financial Group, Inc. is the 15th largest bank in the world as measured by total assets… more
- Morgan Stanley (New York, NY)
- …managing the GFC Banks Advisory team and leading key GFC projects and regulatory initiatives for the US Banks. This role will work closely with senior leaders ... related financial crime policies and procedures. * Supervise and participate in all Bank related internal, external, and regulatory audits and examinations *… more
- Mizuho Corporate Bank (New York, NY)
- …of regulations related to bank holding companies/intermediate holding companies ( bank regulatory capital requirements under FRB guidelines and Basel Accords, ... Operations ("MUSO") Regulatory Affairs Group is responsible for managing the Bank 's regulatory relationships and engagement across MUSO. The group is… 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
- Morgan Stanley (New York, NY)
- …Laundering (AML), Sanctions, Anti-Corruption and Government and Political Activities Compliance programs. If you are passionate about financial crimes prevention, ... team for you. About The Team The Global KYC Advisory team is tasked with setting KYC policy in...Enterprise * Assist in advising key stakeholders of KYC regulatory and policy requirements and suggest enhancement of KYC… more
- City National Bank (New York, NY)
- …risk. Maintaining regulatory change management, policies and procedures, training, and advisory matters for compliance . This role is responsible for directly ... and quality of records. + Comply fully with all Bank Compliance policies and procedures as well...and be accustomed to working with deadlines. + Certified Regulatory Compliance Manager (CRCM), Certified Internal Auditor… more
- Wells Fargo (New York, NY)
- …of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance ), which includes effectively following and adhering to ... of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance ), which includes effectively following and adhering to… more
- MUFG (New York, NY)
- …including input from shared service programs, taking into account industry changes, regulatory changes and internal assessments for conducting advisory . + ... will provide more details. The Global Head of AML Advisory is a senior manager responsible for providing Subject...regulatory requirements with the best interests of the Bank and its customers. + Position may require domestic… more
- Citigroup (New York, NY)
- …project lessons learned and conduct continuous process improvement reviews. + Understand the bank environment and compliance and regulatory requirements. + ... **Overview** The Program Management Advisory and Execution team (PMAE) is the only...will vary across engagements, but generally will range from regulatory compliance to risk management, to the… more
- Mizuho Corporate Bank (New York, NY)
- … Risk Appetite. Compliance fulfills its mission by consistently instilling a Culture of Compliance across the bank and by assessing Compliance Risk and ... compliance advice and guidance to stakeholders + Designing and delivering compliance training + Managing Regulatory Relations and Examinations + Reporting to… more
- Mizuho Corporate Bank (New York, NY)
- About the Role The individual will be joining the Compliance Surveillance team. The surveillance team is responsible for monitoring trading in all asset classes, to ... for improvement, increasing efficiency, and ensuring that the firm meets regulatory expectations and industry best practices. Assist with the updating of… more