- SMBC (New York, NY)
- …history, SMBC Group offers a diverse range of financial services, including banking , leasing, securities, credit cards, and consumer finance. The Group has more ... SMBC Group, which is one of the three largest banking groups in Japan. SMFG's shares trade on the...mathematical and statistical techniques to manage risk and ensure compliance with regulatory requirements. * Collaboration: Work closely with… more
- SMBC (New York, NY)
- …history, SMBC Group offers a diverse range of financial services, including banking , leasing, securities, credit cards, and consumer finance. The Group has more ... SMBC Group, which is one of the three largest banking groups in Japan. SMFG's shares trade on the...and guidance, as necessary, to business units to ensure compliance with internal policies and procedures standards. + Monitor… more
- Arrow Financial Corporation (Glens Falls, NY)
- …audit random samplings of daily work to ensure accuracy and procedural compliance . Prepare reports for management detailing audit result and make training ... as assigned. > Stay up to date on applicable laws/regulations; ensure compliance with laws/regulations as well as Company policies and procedures. >… more
- SMBC (New York, NY)
- …history, SMBC Group offers a diverse range of financial services, including banking , leasing, securities, credit cards, and consumer finance. The Group has more ... SMBC Group, which is one of the three largest banking groups in Japan. SMFG's shares trade on the...required * Ensures the business unit is operating in compliance with applicable laws, rules, and regulations, provides oversight… more
- Citigroup (New York, NY)
- …+ Responsible for driving new introductions and client conversion from the Banking division to the Wealth division and from the Wealth division to ... the Banking division with focus on NAM region + Responsible...in close partnership with control functions such as Legal, Compliance , Market and Credit Risk, Audit, Finance in order… more
- Scotiabank (New York, NY)
- …global Convertible Bond & Preferred Share Trading desks within Scotiabank Global Banking and Markets (GBM). Monitor risk against established limits, manage risk ... business controls to meet obligations with respect to operational, compliance , AML/ATF/sanctions and conduct risk. REQUIREMENTS: Master's degree or foreign… more
- M&T Bank (Buffalo, NY)
- …audit portfolio / team. **Other Responsibilities** + Adhere to applicable compliance /operational risk controls in accordance with Company or regulatory standards and ... or more of the following Lines of Businesses (LOBs) such as Commercial Banking , Retail Banking , Mortgage, Consumer Banking , Wealth Advisory, Institutional… more
- TD Bank (New York, NY)
- …that vary in scope and complexity including daily operations of work, compliance and audits, quality assurance and vendor management + Leads discussions with ... of issues + Evaluates all legal domestic relations orders for compliance , seeks legal opinion where needed, and approves qualification (or non-qualification)… more
- JPMorgan Chase (New York, NY)
- …Internal Business Partners, including CIB Expense Management, Business Change Management, Compliance , Human Resources, and Technology, to drive key initiatives and ... members; foster the development of team leaders. + Maintain a dynamic control/ compliance environment and mitigate risks in business processes. + Build and maintain… more
- JPMorgan Chase (New York, NY)
- …client partners. In this role, you will collaborate with research, sales, banking , and events teams to align event strategies with business objectives, optimize ... satisfaction. + Manage all logistics associated with events, including compliance approval, transportation, catering, audiovisual equipment, and other necessary… more