- Truist (New York, NY)
- …and regulatory knowledge with an emphasis on: Credit, Market, Liquidity, Compliance , Operational, Reputation and Strategic Risks. 6. Strong leadership and ... risk and regulatory knowledge with an emphasis on Non-Financial Risks. ( Compliance , Operational, Reputational, Strategic Risks) + Knowledgeable of Credit, Market and… more
- Aflac (New York, NY)
- VP, Investment Compliance Manager The Company: Aflac Asset Mgt. LLC The Location: New York City, NY, US, 10005 The Division : Global Investment Job Id: 8034 About ... Advisers Act of 1940, Investment Company Act of 1940, Securities Act of 1933 and Securities Exchange...registered investment advisers is a must. + Proactively identify compliance issues and obtain workable resolution. Make a broad… more
- S&P Global (New York, NY)
- **About the Role:** **Grade Level (for internal use):** 11 ** Compliance & Control, Senior Analyst - Ratings** **The Role** The Senior Analyst role is based in New ... York and will be responsible for supporting the regulatory Compliance Program for the North American Structured Finance and...businesses, governments, and institutions. S&P Global Ratings is a division of S&P Global (NYSE: SPGI). S&P Global is… more
- Raymond James Financial, Inc. (New York, NY)
- …will lead and oversee the design, implementation, and supervision of a comprehensive compliance program for the Capital Markets division . This role requires ... with business objectives, ensuring operational excellence. **Advanced Knowledge of:** + Securities industry compliance practices, concepts, and procedures. +… more
- SMBC (New York, NY)
- …closely with subject matter experts (SMEs) and senior stakeholders within the Americas Division (AD) to develop, communicate, and manage compliance policies that ... a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has...Sumitomo Mitsui Banking Corporation (SMBC) is seeking a dynamic Compliance Policy Manager to join our Compliance … more
- 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 ... Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets, Inc., SMBC MANUBANK,...and Leasing Co., Ltd. **Job Summary** The SMBC Americas Division Human Resources & Legal Control Officer is a… more
- SMBC (White Plains, 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
- S&P Global (New York, NY)
- …use):** 12 **The Team** The In-Business Controls team within the Ratings division is dedicated to ensuring operational excellence and robust risk management. We ... we consistently meet the highest standards of performance and compliance . **The Role** Reporting to Head of Vendor Management,.... with regular interaction with senior leaders in the Division and Corporate Functions. You will also develop a… more
- M&T Bank (Buffalo, NY)
- …strategic management of the valuation and risk management of the bank's securities and derivatives arising from balance sheet hedging, customer back-to-back business ... + Actively participates at the Corporation's Governance Committees + Manage internal compliance with MRMD and ensure compliance with model oversight governance… more
- S&P Global (New York, NY)
- …(for internal use):** 12 The In-Business Controls team within the Ratings division is dedicated to ensuring operational excellence and robust risk management. We ... we consistently meet the highest standards of performance and compliance . **The Role** Reporting to the Head of In-Business...businesses, governments, and institutions. S&P Global Ratings is a division of S&P Global (NYSE: SPGI). S&P Global is… more