- Broadridge Financial Solutions (Edgewood, NY)
- …MQ governance modelsnaming conventions, access controls, TLS/mutual auth, and compliance enforcement. + Define audit logging, configuration baselines, and change ... or internal tools. + Partner with Broadridge Security team to ensure compliance with encryption, access control, and audit policies. Leadership & Enablement +… more
- Carrington (Albany, NY)
- …documentation related to Borrower and property. + Ensures the quality and compliance of work with Company policies, procedures, and investor guidelines. + Ensures ... as required to resolve outstanding issues. + Informs Account Executive, Broker , and/or borrower about discrepancies in title, appraisals, credit, employment, income… more
- FlexStaff (Brooklyn, NY)
- …driver's license. + Bilingual in Spanish. + Cannot have previously been a broker for Medicare/Medicaid. + Willingness to travel frequently. + Minimum of 2 years ... awareness, tracking referrals, assisting with the intake process, and ensuring compliance with healthcare regulations. Responsibilities include, but not limited to:… more
- Bank of America (New York, NY)
- …of Liquidity Risk & LOB team and approval via senior executives and broker -dealer Board of Directors, as appropriate. Monitor and notify or escalate limit breaches ... goals. Influencing and negotiating across CFO partners, as well as EFR organization, Compliance & Op Risk, and other verticals (GBAM and Banking) risk colleagues +… more
- Guardian Life (New York, NY)
- …cross-functionally with underwriting, sales, marketing, digital, legal, state filing, compliance , government relations and clinical teams to ensure product ... competitiveness, compliance and success. The areas of focus for this...representing Guardian in Thought Leadership webinars and speaking engagements, broker meetings and roadshows, industry associations, etc. + Responsible… more
- Broadridge Financial Solutions (Edgewood, NY)
- …the customer and internal stakeholders in Agile ceremonies. + Ensure product compliance with relevant financial regulations + Analyze market trends and customer ... Understanding of wealth management products. + Knowledge of regulatory and compliance frameworks in wealth management. + Figma, AHA! Salary range… more
- Guardian Life (New York, NY)
- …with excellence. Key stakeholders include Product Development, Distribution, Compliance , Legal, Technology, and outside vendors. **Responsibilities:** + Responsible ... system as well as through the Third Party and Broker Dealer arm. + Oversee the development of content...- manage implementation and data collection. + Work through compliance system to assure all content is approved, including… more
- Mizuho Corporate Bank (New York, NY)
- …to add value and improve Mizuho Bank's US operations including derivative activities, broker dealer and swap dealer businesses. Based in the New York Metro area, ... design and methodology, implementation and model documentation. - Ensure compliance with the Mizuho Americas Model Risk Management Policy...as SR 11-7 - Document third line work in compliance with the Internal Audit Manual. - Evaluate the… more
- SMBC (New York, NY)
- …solutions to clients within the following industry sectors: Banks and Broker Dealers, Regulated and Alternative Investment Managers and Funds, Insurance Companies ... credit and financial performance, periodic credit monitoring and re-underwriting, covenant and compliance reporting, and ad hoc analysis as necessary. + Work with… more
- Healthfirst (NY)
- …+ Coordinates a review of the website with business owners and ensures compliance with regulatory requirements specific to annual Go to Market activities, website ... and following up with the business as needed. + Works with the Broker Relations team to review Multiplan submissions, opt-in/opt-out in HPMS, and provide feedback… more