- TD Bank (New York, NY)
- …organization. The WMP will partner with Senior Leaders throughout TD AMCB and TD Securities (TDS) and will represent US Wealth across all communities in the Market. ... of conduct and maintain high ethical standards + Manages assigned employees in compliance with all HR policies, procedures, and guidelines of conduct + Leads,… more
- Citigroup (Getzville, NY)
- The Regulatory Reporting role is a senior analyst position within the CGMI Segregation Oversight team, which is responsible for executing daily controls to mitigate ... the inherent risk of non- compliance with the SEC's Client Asset Protection rule (15c3-3),...execute, and monitor efficacy of controls to ensure customer securities are segregated in our international network of custody… more
- Wolters Kluwer (New York, NY)
- …in healthcare, legal, business, tax, accounting, finance, audit, risk and compliance rely on Wolters Kluwer's market-leading information-enabled tools and software ... product capabilities. This role supports our **Financial & Corporate Compliance division** , which provides financial institutions, corporations, small businesses,… more
- Lincoln Financial (Albany, NY)
- …and Tax basis. They will be responsible to perform more complex securities research, analysis, and proper accounting treatment of Lincoln Financial (LF) investment ... positions to support strategic investment operations and initiatives. They...the integrity of accounting records for completeness, accuracy and compliance with accepted accounting policies and principles. + Serves… more
- Wells Fargo (New York, NY)
- …with an expected graduation in December 2025 or May/June 2026 This position may be subject to FINRA Background Screening Requirements, including successful ... check. Internal transfers are subject to comply with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states… more
- Wells Fargo (New York, NY)
- …timely monitoring of performance trends, validating risk ratings, monitoring covenant compliance , as well as adherence to policy and regulatory requirements to ... colleagues in the execution of loan booking, closing, and compliance requirements. + Contribute to and lead credit focused...Expectations:** + Relocation assistance is not available for this position . + This position is not eligible… more
- PVH Corp. (New York, NY)
- …into the most desirable lifestyle brands in the world and at the same time position PVH as one of the best-performing brand groups in our sector. Guided by our ... from around the globe, we currently have COEs dedicated to: + Compliance + Employment + Intellectual Property (including Trademarks, Licensing and Brand Protection)… more
- Wells Fargo (New York, NY)
- …information security, interest rate, liquidity, market, model, operational, regulatory compliance , reputation, strategic, and technology risk. The group provides ... the executive as a Board member for Wells Fargo Securities International Limited, Wells Fargo Bank International UC and...telecommute work available, up to 2 days per week. Position required to appear in person at the location… more
- ADP (Buffalo, NY)
- …meaningful impact. **Bonus points for these:** _Preferred Qualifications_ + Securities Industry Essentials (SIE) and Financial Industry Regulatory Authority (FINRA) ... waiting for? **Apply today!** Base salary offers for this position may vary based on factors such as location,...factors such as location, skills, and relevant experience. Some positions may include additional compensation in the form of… more
- Santander US (New York, NY)
- …+ Prepare detailed Model Development Documentation (MDD) to ensure regulatory compliance . Risk Analytics & Model Development: + Develop, test, and enhance ... plans to align with regulatory expectations. Stakeholder Communication & Regulatory Compliance : + Collaborate with key stakeholders, including trading desks, IT,… more