- TD Bank (New York, NY)
- …across TD Securities, including Markets sales and trading leaders, Technology, Advisory Compliance , and Risk functions. The incumbent provides strategic guidance ... 7+ years of experience in Surveillance Quality Assurance or Internal Audit (covering compliance surveillance, and/or risk and control functions) at a Global… more
- Scotiabank (New York, NY)
- …and effectiveness of day-to-day business controls to meet obligations with respect to operational risk , regulatory compliance risk , AML/ATF risk and ... risk , including but not limited to responsibilities under the Operational Risk Management Framework, Regulatory Compliance Risk Management Framework,… more
- American Express (New York, NY)
- …investment team, Amex business units, and cross-functional partners across Legal, Enterprise Risk , Marketing, Corporate Communications and Compliance . **Key ... and executive presentations + Collaborate closely with Investors, Legal, Marketing, Enterprise Risk , Compliance , and Corporate Communications teams to ensure… more
- Wells Fargo (New York, NY)
- …our focus on building strong customer relationships balanced with a strong risk mitigating and compliance -driven culture which firmly establishes those ... ** Corporate & Investment Bank (CIB)** delivers a comprehensive...risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance ), which includes effectively following and adhering to applicable… more
- JPMorgan Chase (New York, NY)
- …investment professionals. + Compliance : Maintain a consistent focus on compliance and risk management. **Required Qualifications, Skills and Capabilities:** ... 11 countries. **Role Summary** As an Equity Quantitative Investment Analyst / VP, you will join a growing and...and multi-asset client portfolios across global markets. **Responsibilities** + Risk Modeling: Apply risk models (Axioma other… more
- Citigroup (Getzville, NY)
- …professional to serve as a Business Execution Continuity of Business (CoB) Senior Lead Analyst in support of US Personal Banking, Wealth and Functions. The CoB Lead ... Analyst is responsible for business resiliency of critical business...all Global Products/Functions ("Sectors") and Regions by applying a risk -based methodology. + Partners with the ER leadership and… more
- TD Bank (New York, NY)
- …with TDS Chief Data Officer (CDO), Data and Delivery Initiatives (DDI) team, Compliance Technology, First-Line Risk and Control, and Front Office Technology to ... TD Securities (TDS), including Markets Sales and Trading leaders, Technology, Advisory Compliance , and Risk functions. The incumbent provides strategic guidance… more
- TD Bank (New York, NY)
- …key metrics and business conduct issues + Liaison with other Divisions, such as Compliance , Legal, Risk and Internal Audit as well as support regulatory ... industry best practices and supervisory requirements + Strong ability to work with Compliance , Legal or Risk partners to interpret regulation or policy and… more
- JPMorgan Chase (New York, NY)
- …Summary:** You will work alongside investment professionals and the Head Legal Analyst , gaining hands on exposure to complex cross border private credit ... business and is seeking a New York based legal analyst to support the existing head legal analyst...COO/Operations team) as well as internal legal teams, internal compliance and regulatory teams **Job Responsibilities:** + Drafting and… more
- TD Bank (New York, NY)
- …oral presentations. The successful candidate will support a Senior Research Analyst in analyzing individual biotech companies and market trends; composing ... as well as internal policies and regulatory standards (as communicated by Compliance ) to assist in maximizing profitability through sound and well-informed decisions… more