- Citigroup (New York, NY)
- The Regulatory Communications , Advisory & Management team within the Enterprise Data Office's (EDO) Business Enablement and Data Governance group leads ... address senior leaders' questions, concerns and direction. The Regulatory Communications , Advisory & Management Senior Vice President (for EDO) reports… more
- SMBC (New York, NY)
- …Personal Account Dealing) + Financial Crimes Compliance + Regulatory Change Management + Compliance Alerts and other Communications Governance and Reporting: ... business is conducted and transactions are executed. **Role Objectives** The Broker Dealer Regulatory Governance Advisory Team within the CPAD Advisory … more
- City National Bank (New York, NY)
- …are in place to mitigate compliance risk. Maintaining regulatory change management , policies and procedures, training, and advisory matters. This role is ... *COMPLIANCE OFFICER SENIOR-INVESTMENT ADVISORY * *WHAT IS THE OPPORTUNITY?* The Senior Compliance...* Provide credible challenge at committee meetings. * Manage regulatory change management and participate with business… more
- Raymond James Financial, Inc. (New York, NY)
- …in investment and financial planning, in addition to capital markets and asset management . At Raymond James, we are putting the power of perspectives into action ... **Job Summary** _Investment Banking Summer_ _Associates_ _(part of the Capital Markets & Advisory area)_ are given a high level of responsibility on matters of… more
- MUFG (Jersey City, NJ)
- …for managing complex, critical professional disciplinary areas such as Policy Management , Cybersecurity Controls and Reporting, and Cyber Risk Quantification in both ... environments with an emphasis on the role also emphasizes comprehensive risk management , including the identification, assessment, and management of inherent,… more
- TD Bank (New York, NY)
- …with Compliance Advisory team by working closely with them on regulatory requests and alert escalations + Co-ordinate requests to and from, business (Compliance) ... reporting of Compliance function initiatives and programs + Prepare summaries, communications , reports and presentations for management , regulators, and other… more
- SMBC (New York, NY)
- …and findings and circulates information in periodic status reports. + Maintaining regulatory communications , transmittal letters, management responses, and ... strategies. The Regulatory Relations team is the primary contact for regulatory interactions and exam management for US regulators. Role Description The… more
- BMO Financial Group (New York, NY)
- …full-service financial services provider. We offer corporate and investment banking, treasury management , as well as research and advisory services to clients ... around the world. #bmocapitalmarkets **MANDATE** The VP, Capital Markets Conduct Risk Management , is a member of the Regulatory Portfolio team within Capital… more
- Bank of America (New York, NY)
- …Serve as executive sponsor for key acquisition initiatives, ensuring strong governance, regulatory compliance, and risk management . + Manage and oversee referral ... life they envision through a personal relationship with their advisory team committed to their needs. We believe trust...Management + Adaptability + Innovative Thinking + Oral Communications + Planning + Prioritization _It is unlawful in… more
- TD Bank (New York, NY)
- …operational risk disciplines/programs including, Risk & Control Self-Assessment, Business Continuity Management , Outsourcing & Vendor Management , Regulatory ... management , fraud aggregation and assessment, Basel implementation/capital analysis, change management , Privacy, AML, LCM and other regulatory issues), in… more
- TD Bank (New York, NY)
- …management , ongoing monitoring, policy reviews, communications , and complaints management to ensure regulatory compliance and operational excellence. The ... Conducts internal and external research projects; supports the development/delivery of presentations/ communications to management or broader audience + Actively… more
- Cognizant (New York, NY)
- …clients reimagine their business. Blending our deep industry and technology advisory capability, we create innovative business solutions for Fortune 500 clients. ... end-to-end reporting flows-data lineage, transformation, rendering, and distribution-and ensure regulatory and client-specific SLAs are met. **In this role, you… more
- Bank of America (New York, NY)
- …team work. **Skills:** + Advisory + Monitoring, Surveillance, and Testing + Regulatory Compliance + Reporting + Risk Management + Critical Thinking + ... + Business Process Analysis + Decision Making + Negotiation + Process Management + Written Communications **Required Qualifications:** + Minimum of seven years… more
- Bank of America (New York, NY)
- …partners. + Handle advanced research advisory topics, liaise with research management and legal teams, and navigate the regulatory landscape to effectively ... advanced research advisory topics, liaising with research management and legal teams, and navigating the regulatory...the terms or language used in any of its communications according to the provisions contained in the plan… more
- Bank of America (New York, NY)
- …systems. **Skills:** + Advisory + Monitoring, Surveillance, and Testing + Regulatory Compliance + Reporting + Risk Management + Critical Thinking + ... + Business Process Analysis + Decision Making + Negotiation + Process Management + Written Communications **Shift:** 1st shift (United States of America)… more
- Sanofi Group (Morristown, NJ)
- …scientists in the project in collaboration with the Safety Officer, Regulatory Strategist, Statistics and other key functional representatives to deliver development ... strategy and prepare/assist with regulatory agency interactions + Develop...+ Leads the clinical development including planned life cycle management (LCM) + Ongoing assessment of the product benefit-risk… more
- City National Bank (New York, NY)
- …are in place to mitigate compliance risk. Maintaining regulatory change management , policies and procedures, training, and advisory matters for mortgage ... ensuring materials comply with regulatory and business standards. * Manage regulatory change management and participate with business areas supported such as… more
- Sanofi Group (Morristown, NJ)
- …Our Medical Affairs function serves as key strategic partners for commercial, regulatory , R&D, market access and external affairs to develop and launch first ... Lead for Tolebrutinib, the Global Senior Medical Director for Life Cycle Management (LCM) will oversee all data generation activities (phase IV interventional… more
- Mizuho Corporate Bank (New York, NY)
- About the Team Credit Review provides the Board and bank management with an independent view of the quantity, quality and direction of credit risk in the America's ... compliance with Bank policies and procedures as well as adherence with regulatory guidelines thereby minimizing losses. The ideal candidate will possess the ability… more
- TD Bank (New York, NY)
- …(eg, order management systems, execution platforms, and market data feeds). + Regulatory Compliance & Risk Management : Ensure TDS meet regulatory ... This is a global role, the incumbent will work with the Trade and Communications Surveillance leads across geographies (US, Canada, EMEA, and APAC), as well as key… more