- Scotiabank (New York, NY)
- …their team by fostering an inclusive work environment. + Work with Swap Dealer Compliance Advisory Team to perform Swap Dealer Compliance Testing in ... execute compliance testing in order to assess compliance with legal, regulatory and internal firm...management and validation testing efforts. + Understand how the Bank 's risk appetite and risk culture should be considered… more
- Scotiabank (New York, NY)
- …sales and trading management and US Compliance personnel on relevant compliance issues, the regulatory environment, and Compliance Department initiatives ... work environment. **What You'll Bring** + A minimum of 7-10 years of compliance experience, including experience providing advisory support to a broker-dealer… more
- American Express (New York, NY)
- …Compliance oversight, guidance and challenge to business stakeholders on compliance / regulatory requirements applicable to projects and processes. This ... + Review of customer-facing materials (eg marketing collateral) to effectively mitigate compliance risks and provide regulatory guidance on the applicability of… more
- American Express (New York, NY)
- …& Compliance . CPAT is responsible for administering a comprehensive UDAAP/UDAP regulatory compliance Program. CPAT is responsible for business process and ... within a team environment and independently drive results + Certified Regulatory Compliance Manager (CRCM) Certification **Qualifications** Salary Range:… more
- Scotiabank (New York, NY)
- …and cybersecurity risks are identified, monitored, and treated, as well as ensuring the Bank meets regulatory compliance . The candidate will be required to ... security and contribute to the overall success of the US IS&C's governance, regulatory compliance , and risk program. This role requires a seasoned professional… more
- Citigroup (New York, NY)
- …Services and Public Affairs (ESPA). The team provides high quality exam support and regulatory filings as well as strategic and advisory support for the Firm ... **Description:** Citi, the leading global bank , has approximately 200 million customer accounts and does business in more than 160 countries and jurisdictions. Citi… more
- HSBC (New York, NY)
- …risk mitigation measures to protect the Bank and its customers from all regulatory , compliance and service issues + Ensure compliance with all relevant ... all share. HSBC is the world's leading trade finance bank , offering a comprehensive range of traditional trade products...wallet share and grow revenues + Adopt a needs-based advisory approach to understand individual customer, as well as… more
- Scotiabank (New York, NY)
- …limited to the Bank Secrecy Act and OFAC regulations, guidance, and regulatory expectations. The candidate will lead AML audits to assess the design and ... reporting activities within the US and determine whether they are in compliance with governing regulations, internal policies, and procedures. The candidate will… more
- Citigroup (New York, NY)
- …program priorities **Qualifications:** + 3+ years of relevant experience in CRA, regulatory compliance , risk governance, banking product or a similar analytical ... Citi, the leading global bank , has approximately 200 million customer accounts and...(ESPA). The team provides high quality exam support and regulatory filings as well as strategic and advisory… more
- KeyBank (Albany, NY)
- …Principal is responsible for the principal supervision and surveillance of all bank brokerage, advisory and insurance sales activities. This includes, but ... Administration preferred *A minimum of 5 years' experience in securities supervision/ compliance activity within a brokerage or bank -based brokerage firm.… more