- 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)
- …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
- Bank of America (New York, NY)
- …+ Reports to Global Environmental Executive, accountable to Environmental and Social Business Advisory pillar lead + Member of bank 's Global Environmental Group ... view the "EEO is the Law" Supplement, CLICK HERE (https://www.dol.gov/ofccp/regs/ compliance /posters/pdf/OFCCP\_EEO\_Supplement\_Final\_JRF\_QA\_508c.pdf) . Bank of America aims to… more
- TD Bank (New York, NY)
- …that provides insights to Executive Management and multiple Board Committees. The Senior Compliance Regulatory Reporting & Operations Manager will oversee day to ... enterprise Compliance Program professionals providing oversight and control related advisory services to Compliance partners + Provides strategic direction… 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
- Mizuho Corporate Bank (New York, NY)
- Derivatives Regulatory Compliance OfficerBrief Description: The Regulatory Compliance Officer will be responsible to assist in the development and ... administration of regulatory implementation, regulatory examination and inquiry management,...Business and Infrastructure managers, as well as with other Compliance staff, to assess impact of new and amended… 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)
- …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)
- …about the assigned reports, fostering a collaborative relationship and ensuring compliance with regulatory expectations. Qualifications + Bachelor's degree in ... About the Team Mizuho Americas Finance - Financial Regulatory Reporting (FRR) is a team responsible for...Overview Mizuho Financial Group, Inc. is the 15th largest bank in the world as measured by total assets… more
- Bank of America (New York, NY)
- …team work. **Skills:** + Advisory + Monitoring, Surveillance, and Testing + Regulatory Compliance + Reporting + Risk Management + Critical Thinking + ... controls, and associated metrics for risk appetite and limits, reporting violations of compliance or regulatory activities + Assists in the development of… 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 ... **About this role:** Wells Fargo is seeking a Financial Advisory Senior Branch Manager - Non-Producing in Wealth and...grow the branch + Identify and recommend opportunities for compliance , regulatory , and administrative issues relating to… more
- Bank of America (New York, NY)
- …to identify regulatory changes applicable to area(s) of coverage **Skills:** + Advisory + Regulatory Compliance + Reporting + Risk Management + ... and associated metrics for risk appetite and limits, reporting violations of compliance or regulatory activities + Analyzes and interprets applicable laws,… more
- Mizuho Corporate Bank (New York, NY)
- …position is within the MSUSA Derivative Operations as a member of the Regulatory Operations team. The responsibilities for this role includes below but not limited ... to: Regulatory : + Monitoring real-time OTC reporting for completeness ,...OTC reporting errors and omissions with sales/trading, middle office compliance , and technology and escalate accordingly. + Perform and… more
- Bank of America (New York, NY)
- …team work. **Skills:** + Advisory + Monitoring, Surveillance, and Testing + Regulatory Compliance + Reporting + Risk Management + Critical Thinking + ... controls, and associated metrics for risk appetite and limits, reporting violations of compliance or regulatory activities + Assists in the development of… 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
- US Bank (New York, NY)
- …Capital Markets is a senior level management position that supports the Regulatory Compliance Audit Director/Senior Audit Director of the Risk Management ... At US Bank , we're on a journey to do our best. Helping the...and Compliance audit team. This role supports the Audit Director/Senior Audit Director, in… more
- TD Bank (New York, NY)
- …details for this role **Job Description:** **Preferred Qualifications:** Candidate must have compliance advisory experience with background in Equities and OTC ... on drafting, updating, and implement relevant policies and procedures. Provide regulatory / compliance training. Participate in internal investigations, respond to… more
- TD Bank (New York, NY)
- …**Customer Accountabilities:** + Proactively advises the business of new and changed Compliance regulatory and/or policy changes + Formulates relevant and ... all aspects of Compliance /Center of Excellence programs in line with the Bank 's risk philosophy and strategic direction. **Depth & Scope:** + Recognized as top… more