- Raymond James Financial, Inc. (New York, NY)
- …for the Capital Markets division. This role requires significant industry expertise, regulatory acumen, and leadership skills to manage compliance functions, ... professionals to support business growth and adapt to changing regulatory landscapes. + Foster a culture of compliance... practices, concepts, and procedures. + SEC, FINRA, FRB Bank Holding Company, and state regulatory frameworks.… more
- 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)
- …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
- HSBC (New York, NY)
- …assuring their effectiveness. The role will lead on business change policy and regulatory changes, overseeing delivery via People Advisory , with a cohesive ... The team also provide 'second-line' oversight to two first line teams People Advisory and People Investigations. The remit will cover Policy, People Risk, Business… more
- Citigroup (New York, NY)
- …Receipt programs (eg, ADRs, GDRs), including program structure, lifecycle management, regulatory compliance (eg, SEC filing requirements), and market dynamics. ... (dividends, stock splits, rights issues) as they pertain to DRs. **2. Regulatory and Compliance Landscape** + **SEC Regulations:** Comprehensive understanding of… more
- The Estee Lauder Companies (New York, NY)
- … filings *Establish/enhance internal processes to support legal compliance and board effectiveness; manage departmental budget, board-related expenditures ... records, documents, filings *Establish effective processes and systems to support compliance with legal and regulatory requirements *Prepare and oversee… more
- MUFG (New York, NY)
- …and maintain knowledge of industries represented in portfolio, including technical aspects and regulatory issues + Attend client and bank meetings as appropriate ... general credit deterioration with the goal of maximizing the bank 's net income while minimizing credit costs. Additionally, you...on both a transaction and group level + Ensure compliance with policy and regulatory requirements **Skills… more
- BMO Financial Group (New York, NY)
- …new opportunities with prospective clients. Maximizes profit while prudently minimizing the bank 's exposure and adhering to regulatory statutes. + Operates as ... and investment banking, treasury management, as well as research and advisory services to clients around the world. #bmocapitalmarkets Provides a markets-based… more
- Scotiabank (New York, NY)
- …design and implementation of data governance and data security, including related regulatory guidance and expectations. The candidate will perform IT & Data audits ... management, challenge, and reporting activities within the US and are in compliance with governing regulations, internal policies, and procedures. The incumbent will… more
- Citigroup (Smithtown, NY)
- …business. This person will have an expert understanding of the US wealth advisory and bank -channel industry, and direct competitors' products and services. The ... individuals), Relationship Managers (100+ individuals), and other functions supporting wealth advisory sales. The Wealth Regional Director is directly responsible to… more
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