- Wells Fargo (New York, NY)
- …customer service + Help train, mentor, coach and develop junior talent + Ensure compliance with all new Dodd-Frank and Other regulatory rules and help guide team to ... 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 1934 and… more
- Raymond James Financial, Inc. (New York, NY)
- …key parties within Divisional Management, Supervision, and other areas within compliance to address escalation items. + Interprets and applies organizational ... adherence to regulatory requirements. + Performs periodic reporting on compliance and operational issues, as required. + Identifies and...24 or willing to obtain within 120 days of employment o Series 9 and 10 can be used… more
- Cognizant (Albany, NY)
- …i security architecture across multiple business units. + Drive automation of compliance reporting and evidence collection processes. + Evaluate and recommend new ... to IBM i environments. + Utilize monitoring tools (eg, Enforcive, Compliance Monitor, PowerTech) to support audits and incident investigations. + Collaborate… more
- Wells Fargo (New York, NY)
- …implementing pricing, risk, and analytics models, supporting regulatory and compliance requirements and collaborating with traders, quants, product and other ... platform issues of a technically challenging nature + Lead team to ensure compliance and risk management requirements for supported area are met and work with… more
- Wells Fargo (New York, NY)
- …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 1934 and ... screening and are required to report certain incidents + Specific compliance policies may apply regarding outside activities or personal investing; affected… more
- Wells Fargo (New York, NY)
- …models. + Support to business, LOB Legal and other functions, including compliance and controls + Regulatory advice on business and product development into ... complex legal matters + Prior experience in advising on legal, regulatory, and compliance issues for a financial services firm. + Ability to evaluate impacts based… more
- Wells Fargo (New York, NY)
- …+ Work directly with the business, LOB Legal and other functions, including compliance and controls + Provide regulatory advice on business and product development ... financial regulatory agency + Experience advising on legal, regulatory, and compliance issues on swaps and/or derivatives + Demonstrated experience in analyzing… more
- Wells Fargo (New York, NY)
- …into the platform, delivering automated guardrails, real-time exposure monitoring, and compliance with regulatory standards-making this role central to both business ... trading systems in production environments, ensuring stability, resilience, and compliance with regulatory requirements. + Drive continuous improvement initiatives… 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 ... and coordinate colleagues in the execution of loan booking, closing, and compliance requirements. + Contribute to and lead credit focused projects, partnering with… more
- Deloitte (New York, NY)
- …and "tax controversy" pique your interest? Do you enjoy providing federal tax compliance and consulting services to large global and dynamic midsize banking and ... Services group, you will provide federal tax consulting and compliance services to a clients in the banking and...fsitax btstax All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual… more