- SMBC (New York, NY)
- …SMBC Group offers a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has more than 130 ... in the Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets, Inc., SMBC MANUBANK, JRI America, Inc.,… more
- Bank of America (New York, NY)
- …capital, liquidity and interest rate risks, including price risk in the CFO managed securities portfolio. As the Chief Risk Officer (CRO) function covering the ... and performing review and challenge of regulatory rule interpretations and rule compliance documentation + Develop and demonstrate acumen for the identification of… more
- Bank of America (New York, NY)
- …capital, liquidity and interest rate risks, including price risk in the CFO managed securities portfolio. As the Chief Risk Officer (CRO) function covering the ... goals. Influencing and negotiating across CFO partners, as well as EFR organization, Compliance & Op Risk, and other verticals (GBAM and Banking) risk colleagues +… more
- MUFG (New York, NY)
- …details. Reporting into the Managing Director, Regional Head of Americas AML Program Officer (APO), the role supports the BAU activities of the Financial Crimes ... procedures and controls that comply with the Bank's AML compliance requirements, including those set forth in this US...a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2)… more
- Wells Fargo (New York, NY)
- …successful completion and clearing of a background check. Internal transfers are subject to compliance with 17 CFR 240.17f-2 of the Securities Exchange Act of ... Investment Banking (CIB) as part of The Chief Operating Officer (COO), within our CIB Banking Capital & Portfolio...and are required to report certain incidents. + Specific compliance policies may apply regarding outside activities or personal… more
- MUFG (New York, NY)
- …customers** + Responsible for the management of a portfolio as a credit officer + Perform due diligence and regularly scheduled reviews + Analyze credit risk ... pertinent to making a decision with little support from management. **Policy Compliance ** + Ensure compliance with external regulatory/internal policy and… more
- Capital One (New York, NY)
- …and transactions in a well-managed and compliant manner. Reporting to Chief Product Officer of the Commercial Bank and sitting on the Product Leadership Team for ... of experience working in Product Management + At least 7 years of experience in securities origination or trading management in Capital Markets + At least 7 years of… more
- Snap Inc. (New York, NY)
- …developing Snap's training, policies, and practices to promote awareness and compliance with rules and regulations. + Manage corporate governance and administration ... review SEC filings for executive compensation and Section 16 officer trading, such as Forms 3, 4, 5, and...4, 5, and 10-K, and advise on other related securities law matters. + Assist cross-functional efforts to support… more
- PVH Corp. (New York, NY)
- …from around the globe, we currently have COEs dedicated to: + Compliance + Employment + Intellectual Property (including Trademarks, Licensing and Brand Protection) ... PVH Board of Directors. In addition, the role helps support PVH Corp.'s Securities and Exchange Commission reporting obligations and other Legal functions. This role… more
- Aflac (New York, NY)
- …President, Data Strategy and Governance Manager is a member of the Chief Operating Officer Team. As a member, the individual will work closely with the entire GI ... of Data Governance GI Business Partners: GI Front Office, Investment Compliance , GI Data Management (Japan), Investment Accounting, Tax, Treasury, Trade Operations… more