- SMBC (New York, NY)
- …and initiatives within the control office, helping to oversee effective governance, risk management, and compliance across the organization. + Program ... Control Office and for various front office processes and programs, ensuring compliance with regulatory requirements, internal policy, and industry standards.… more
- Marex (New York, NY)
- …and new benefits that may be developed from time to time. + Ensuring compliance with the company's regulatory requirements under the SEC, FINRA, NFA, CFTC ... across the group. The role is the interface between Finance and HR and the owner of accounting policies...risk framework for your role ensuring that all regulatory or company determined parameters are complied with. +… more
- HSBC (New York, NY)
- …+ Serve as an interface between front office and infrastructure teams (eg, Operations, Technology, Compliance , Legal, Risk , HR, Finance ) and serve as a point ... required, MBA or equivalent preferred. Degrees preferred in Business, Finance , Economics, or a related field + Knowledge of...wealth, affluesnt market trends, and deep understanding of US regulatory framework, risk management and compliance… more
- Janus Henderson Investors (New York, NY)
- …and regulatory changes to inform and adjust trading strategies. + Regulatory Compliance : Ensure adherence to relevant industry regulations and company ... second liens, and HELOCs. This role requires expertise in loan-level modeling, risk measurement and management, and market analysis to optimize trading strategies… more
- Citizens (Tarrytown, NY)
- …+ Experience in developing and maintaining SharePoint sites + Knowledge of compliance and regulatory reporting requirements + Experience with business continuity ... leadership & people management, operational excellence, technical & analytical proficiency, regulatory & compliance acumen, communication & collaboration, and… more
- Scotiabank (New York, NY)
- …to and effectiveness of day-to-day business controls to meet obligations with respect to operational risk , regulatory compliance risk , AML/ATF risk ... not limited to responsibilities under the Operational Risk Management Framework, Regulatory Compliance Risk Management Framework, AML/ATF Global Handbook… more
- Citigroup (Getzville, NY)
- …and Assessment, Transfer Pricing. **Other Relevant Skills** Assessment, Credible Challenge, Regulatory Compliance , Risk Management. _Citi is an ... and future state planning and strategic direction.** **Exposure into various facets of Risk and Finance Processes within Citi; interacting with various levels… more
- HSBC (New York, NY)
- …within all CMA teams, and related functions ( Finance , Regulatory Compliance , Financial Crime, HR, Wholesale Risk , etc.) for the Americas region + ... Structured Equity Finance (SEF), Debt Capital Markets (DCM), Leveraged & Acquisition Finance (LAF), and Corporate Risk Solutions (CRS). The CMA COO team play… more
- BlackRock (New York, NY)
- …the enhancement of internal policies and procedures aimed at mitigating risk , meeting applicable regulatory requirements and/or improving operational efficiency. ... will also work closely with other teams within BlackRock's Legal & Compliance department. **Responsibilities:** + Provide legal advice and counsel on matters related… more
- Wells Fargo (New York, NY)
- …all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance ), which includes effectively following and adhering to ... Bachelor's Degree with coursework in financial accounting and corporate finance or an MBA + 2+ years of relevant...on building strong customer relationships balanced with a strong risk mitigating and compliance -driven culture which firmly… more