- Citigroup (Getzville, NY)
- …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), ... the internal control framework (known as the 17a-5 Annual Compliance Report). Internally, this role regularly interfaces with NY-based...this regulation to ensure client positions are not at risk of being utilized. + Monitor and manage key… more
- Amentum (Albany, NY)
- **Amentum seeks an ISO 27001 Compliance Engineer** Amentum is a global leader in advanced engineering and innovative technology solutions, trusted by the United ... in approximately 80 countries across all 7 continents. The **ISO 27001 Compliance Engineer** is a remote-telework position that supports our ISO 27001 adherence… more
- SMBC (New York, NY)
- …and Skills** + Minimum of 10 years of audit experience in the in Audit, Risk , Business Control, Compliance , Finance in the financial industry. + Strong knowledge ... coverage of Front Office and associated support functions including Sales, Trading, risk management and Operations within the Internal Audit Department. The ideal… more
- HSBC (New York, NY)
- …and coordination within all CMA teams, and related functions (Finance, Regulatory Compliance , Financial Crime, HR, Wholesale Risk , etc.) for the Americas ... Finance (SEF), Debt Capital Markets (DCM), Leveraged & Acquisition Finance (LAF), and Corporate Risk Solutions (CRS). The CMA COO team play a key role across several… more
- SMBC (New York, NY)
- …Risk Management: Apply advanced mathematical and statistical techniques to manage risk and ensure compliance with regulatory requirements. * Collaboration: ... learning techniques and their application in trading strategies. * Regulatory Compliance : Understanding of regulatory requirements and risk management practices… more
- Citigroup (New York, NY)
- …appropriate risk and return characteristics, ensuring appropriate Credit Policy and Risk Acceptance standard compliance . + Attract, recruit and retain high ... compliant robust business processes are in place. + Ensure compliance with all laws and regulations, as well as...Product Program. + Collaborate with the 1LOD and 2LOD Risk Organization to drive results and identify areas to… more
- Scotiabank (New York, NY)
- Compliance Testing Senior Manager, Swap Dealer and Derivatives Compliance **Requisition ID:** 220508 **Salary Range:** 117,400.00 - 224,700.00 _Please note that ... provides a full range of investment banking, credit and risk management products and services relevant to the financing...future! **Purpose** Contributes to the overall success of GBM&T Compliance Testing team and Swap Dealer and Derivatives … more
- University of Rochester (Rochester, NY)
- …**Responsibilities:** GENERAL SUMMARY Provides oversight, administration, and direction for high- risk and high-priority financial research compliance functions. ... Directs the Office of Research Compliance for clinical research billing compliance , sponsored program financial compliance , and development and oversight of… more
- JPMorgan Chase (New York, NY)
- …manage & reconcile). + Adhere to departmental procedures and processes. + Mitigate risk and compliance aspects for each event + Collaborate and interact ... colleagues on the meetings and events team, cross line-of-business marketing teams, compliance , bankers, product partners and senior management. As an Event Marketer… more
- Amazon (New York, NY)
- …computing, batch processing, big data, archiving, disaster recovery, migration, security risk and compliance . Key job responsibilities As an experienced ... automation and scripting (eg, Terraform, Python) - Knowledge of security and compliance standards (eg, HIPAA, GDPR) - Strong communication skills with the ability… more