- SMBC (New York, NY)
- …to drive alignment and ensure informed decision-making. + Stay current with regulatory expectations related to compliance culture and industry developments, to ... a competitive portfolio of benefits to its employees. **Role Description** The Head of Compliance Culture will oversee and lead the firm's Culture of Compliance … more
- New York State Civil Service (Albany, NY)
- … compliance , and internal audit controls; BSA/AML program; operational, regulatory and legal risks and controls; risk management program; financial condition; ... or practices.* Reviewing financial institution programs, policies, and procedures for compliance with legal and regulatory requirements.* Evaluating financial… more
- Lincoln Financial (Albany, NY)
- …**Requisition #:** 74750 **The Role at a Glance** The AVP, Product Compliance & State Filing provides leadership, direction and functional expertise to ensure ... strong product compliance and filing results for the Retail Annuities business....to expedite state product approvals, to include negotiations with regulatory authorities, discussions with outside counsel and/or consulting firms… more
- PNC (New York, NY)
- …you will be within PNC's Internal Audit organization, supporting the Compliance Audit team supporting Corporate & Institutional Banking, Treasury Management, Swap ... individuals who are passionate about mitigating risk, problem solving, and protecting the bank and also can contribute in the following ways: * Provide an… more
- SMBC (New York, NY)
- …and understanding of traditional financial analysis. + Strong understanding of bank regulatory topics with a focus on compliance to all relevant policies and ... with SMFL Credit Policy, CRVD standards and other SMBC credit and compliance regulatory expectations. + Ensure that all Underwriting Policy and RAC exceptions… more
- Scotiabank (New York, NY)
- …of day-to-day business controls to meet obligations with respect to operational risk, regulatory compliance risk, AML/ATF risk and conduct risk, including but ... not limited to responsibilities under the Operational Risk Management Framework, Regulatory Compliance Risk Management Framework, AML/ATF Global Handbook and the… more
- SMBC (New York, NY)
- …analytic tools. You will also help advise senior leaders in Risk, Business, and Regulatory Compliance functions on the operation of their businesses in a manner ... bank 's strategy for climate-related financial risk assessment and analytics. ** Regulatory Compliance & Reporting:** Partner with relevant corporate functions,… more
- SMBC (New York, NY)
- …liquidity risk, profitability drivers, market landscape, and an understanding of non- bank lender regulatory requirements. **Role Objectives** + Closely ... guidance on originator/service credit profiles, review and understand potential regulatory /political issues within different non- bank financing products, and… more
- Scotiabank (New York, NY)
- …business strategies and objectives. Ensures all activities are conducted in compliance with governing regulations, internal policies and procedures. Collaborate with ... Cloud Engineering leads, aligned risk leads, first line of defense (1LOD), Regulatory Relations, Internal Audit, and the Enterprise Technology Risk Management team.… more
- Scotiabank (New York, NY)
- …of day-to-day business controls to meet obligations with respect to operational risk, regulatory compliance risk, AML/ATF risk and conduct risk, including but ... not limited to responsibilities under the Operational Risk Management Framework, Regulatory Compliance Risk Management Framework, AML/ATF Global Handbook and the… more