- CIBC (New York, NY)
- …Derivatives businesses; (2) taking reasonable steps to ensure compliance with all SEC , FINRA, and all other relevant SRO (eg Cboe) regulatory rule requirements ... Markets business, which includes liaising with external regulators (eg FINRA, SEC , Federal Reserve), internal infrastructure support and front office personnel, in… more
- TD Bank (New York, NY)
- …First Line surveillance and business conduct reviews. + Compile management reporting on trade capture metrics, regulatory scorecards, policy exceptions and other ... ad hoc reporting as required. + Assess implications of Firm policy,...Committees and Vice Chair supervision meetings, as well as Co- Head directs supervisory meetings. + Execute internal control procedures… more
- MetLife (New York, NY)
- …timely manner and drive continuous improvements for stakeholders (FP&A, Investments, SEC Reporting , Investor Relations, Controllers, Treasury, Enterprise Finance ... on forward-looking projections, analytical and strategic support to the Head of FP&A. The role entails leading special projects,...Give You an Edge (Additional Skills) * Experience with financial reporting systems (Hyperion Financial … more
- SMBC (Jersey City, NJ)
- …with applicable rules and guidance impacting the TPRM program including OCC, FBR, FDIC, SEC , FFIEC, FINRA; in addition to other US regulators (eg, NY Department of ... Financial Services), and foreign-based regulators (eg, Japan's ...Experts (SMEs), Third Party Business Representatives (TPBR's), and the head of Third Party Management Operations team. + Support… more
- Morgan Stanley (New York, NY)
- …Region informed of significant matters and is a non-revenue sharing position that has dual reporting to the Head of the Centralized Review Unit (CRU) and the ... Morgan Stanley is a leading global financial services firm providing a wide range of...required for role or by management Strong knowledge of SEC , FINRA Rules and Regs including Investment and Product… more
- Morgan Stanley (New York, NY)
- …Management (CRM) Second Line of Defense. This position reports to the Global Head of CPGR. CPGR develops, enhances, and maintains Credit policies and procedures, ... experts globally in Credit Coverage, Capital, Risk Analytics, and Reporting , as well as other departments within the Firm....Risk or a related field at a large, complex financial institution or a top consulting firm - Excellent… more