- TD Bank (New York, NY)
- … regulatory and compliance spaces in order to manage the Operational, Regulatory , Financial and Reputational risks + Ability to develop strong business ... internal and external clients as we place a focus on people, processes, and controls . To achieve this, we need great people that are innovative, customer-focused and… more
- TD Bank (New York, NY)
- …Banking Space supporting a wholesale client base. Including knowledge of the regulatory framework supporting businesses such as Global Trade Finance and Payments & ... Management\. Such advice will be tailored to resolving issues with consideration to regulatory requirements, regulatory and firm risk and industry best practice.… more
- TD Bank (New York, NY)
- …Presents objective and independent opinion on the adequacy of RCM processes and controls in accordance with regulatory and internal requirements + Supports ... The Compliance Testing Analyst II executes independent testing of Compliance controls /systems for assigned businesses and operational units across the Bank as… more
- TD Bank (New York, NY)
- …are in compliance with applicable internal and external requirements ( eg financial controls , segregation of duties, transaction approvals and physical ... Management experience (1st or 2nd line), experience at a Bank or Financial Services organization. **Depth & Scope:** + Highly seasoned professional role requiring… more
- BMO Financial Group (New York, NY)
- …. + Performs and/or effectively challenges monitoring and testing activities to ensure regulatory compliance controls are operating and aligned to regulatory ... on compliance matters. + Advises business/group on implications of new regulatory developments or internal products, and assists to implement new/revised policies… more
- TD Bank (New York, NY)
- …operations are in compliance with applicable internal and external requirements (eg financial controls , segregation of duties, transaction approvals and physical ... and/or control functions to ensure alignment with enterprise and/or regulatory requirements + Leads or contribute to cross-functional / enterprise initiatives as… more
- MUFG (New York, NY)
- …(b) they do not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association ... actions to count?** Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), one of the world's leading ...plans (MAPs) development to ensure MAPs can address the control deficiencies and symptoms pointed out in the issue… more
- Bank of America (New York, NY)
- …At Bank of America, we are guided by a common purpose to help make financial lives better through the power of every connection. We do this by driving Responsible ... and developing exceptional talent, supporting our teammates' physical, emotional, and financial wellness, recognizing and rewarding performance, and how we make an… more
- TD Bank (New York, NY)
- …in financial markets, data governance, trade surveillance systems, and regulatory requirements at a large investment bank/systemically important financial ... Data and Delivery Initiatives (DDI) team, Compliance Technology, First-Line Risk and Control , and Front Office Technology to deliver a Surveillance data quality… more
- TD Bank (New York, NY)
- …or CPA + 5+ years' experience required + Knowledge of reconciliation between financial statement and regulatory reports + Experience in Treasury or Capital ... Treasury Liquidity Analyst maintains, enhances, and develops reporting processes, control frameworks, and/or systems. Daily activities involve providing leadership,… more