- Citigroup (New York, NY)
- …7, 66 (63/65), 24 and 31. Series 9/10 also preferred + Knowledge of Bank and Broker-Dealer businesses, regulatory requirements and related policy + Knowledge of ... of supervisory issues escalated + Review and approval of designated bank -channel and broker-dealer investments + Manage surveillance alerts within stated policy… more
- KeyBank (Albany, NY)
- …provisions, and account activities to determine duties and responsibilities of Bank as Trustee + Performs discretionary distribution analysis and documentation of ... decision making + Interprets investment decisions made by portfolio manager + Displays above-average understanding of income taxation of grantor, simple, and complex… more
- BMO Financial Group (New York, NY)
- …Legal, and Risk to build on our platform to better align with the Bank 's broader goals for this important client base. **Key Responsibilities:** + Revenue generation ... onboarding, credit and risk colleagues to ensure seamless client experience and compliance with all internal and external policies and procedures + Work closely… more
- KeyBank (NY)
- …be a member of the Fair and Responsible Banking ("FARB") Analytics team within Compliance Risk Management ("CRM"). As part of Key's second line of defense CRM ... Analytics Sr. Quant Analytics Associate will provide support to the FARB Compliance Management System, assisting the Analytics Director and Quant Analytics … more
- KeyBank (NY)
- …be a member of the Fair and Responsible Banking ("FARB") Analytics team within Compliance Risk Management ("CRM"). As part of Key's second line of defense CRM ... Analytics Sr. Quant Analytics Associate will provide support to the FARB Compliance Management System, assisting the Analytics Director and Quant Analytics … more
- KeyBank (Buffalo, NY)
- …procedures to identify items/conditions to be satisfied. Adheres to all KeyBank and regulatory compliance procedures, including but not limited to Office of ... parties; work seamlessly with the LOB, other internal partners, third parties, bank groups/syndications, etc. Determine if counsel is required (whether fully or… more
- KeyBank (Rochester, NY)
- …and recovery efforts for a portfolio of commercial clients. The Loan Workout Relationship Manager IV will handle a variety of accounts with moderate complexity on a ... accounts + Adhere to department and corporate guidelines, policies and compliance procedures. + Maintain constructive interaction with clients, work colleagues,… more
- MUFG (New York, NY)
- …be responsible for assisting with the duties of the BURM (Business Unit Risk Manager ) for Operations. The associate will be responsible for key aspects related to ... of issues and partner with stakeholders in opening issues (Audit/ Compliance /Management Identified)Completing Issue Closure TemplatesAcquiring the necessary management approvalsScheduling… more
- BMO Financial Group (New York, NY)
- …Understands the complexity of transactions and related risks (credit, market, operational, legal/ compliance , etc.). + Balances the Bank 's risk appetite with ... in their presentation to clients. + Monitors client, client industry, and regulatory agencies for potential changes that may affect client portfolio and business… more
- Citigroup (New York, NY)
- …including across all product groups. + Responsible for strict adherence to the Bank and CPB compliance / regulatory framework. + Collaborate with the ... whose clients and prospects are partners and employees in the Global Asset Manager Industry, an expansion market in the Global Wealth business. This individual will… more