- Mizuho Corporate Bank (New York, NY)
- …calendars, shared mailboxes, distribution lists + Monitor adherence to training and compliance initiatives + Assist with staff engagement activities and events for ... in management consulting, technology, operations, business strategy, or corporate advisory roles + 2 years of experience working with...of your department, as well as local laws and regulatory obligations. Roles in some of our departments have… more
- Mizuho Corporate Bank (New York, NY)
- …assessing the risks of the customers and its associated parties, and ensuring compliance with AML and regulatory requirements. In addition to KYC process, ... for reporting purposes. + Work closely with front offices, compliance , other operations and other relevant sections to complete...of your department, as well as local laws and regulatory obligations. Roles in some of our departments have… more
- Mizuho Corporate Bank (New York, NY)
- …process optimization to improve efficiency and reduce operational costs. + Ensure compliance with regulatory requirements and industry best practices. + Develop ... of your department, as well as local laws and regulatory obligations. Roles in some of our departments have...Overview Mizuho Financial Group, Inc. is the 15th largest bank in the world as measured by total assets… more
- Mizuho Corporate Bank (New York, NY)
- …process improvement initiatives to streamline workflows and enhance technology operations. + Compliance and Security: Ensure compliance with ITIL standards and ... of your department, as well as local laws and regulatory obligations. Roles in some of our departments have...Overview Mizuho Financial Group, Inc. is the 15th largest bank in the world as measured by total assets… more
- 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
- American Express (New York, NY)
- … oversight, challenge and guidance to GABM business stakeholders on compliance / regulatory requirements applicable to projects. This requires providing effective ... marketing, sponsorship campaign strategies, and advertising materials to effectively mitigate compliance risks and provide regulatory guidance on applicability… 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
- Otsuka America Pharmaceutical Inc. (Albany, NY)
- …materials or other types of product communications to provide comprehensive regulatory compliance guidance. + Ensures product promotional materials are ... a high level of understanding of regulations related to promotion compliance . May be assigned additional responsibilities as deemed necessary. **Job Description**… more
- BMO Financial Group (New York, NY)
- …tests that the First Line of Defense responsibilities outlined in the Legal Regulatory Compliance Risk Management (LRCRM) Policy, the Enterprise Compliance ... advisory services for the Line of Business on regulatory matters. ** ** **KEY ACCOUNTABILITIES** Working directly with...Office, and Sales & Trading. + Assist with the Regulatory Compliance Risk Assessment process, which is… more