- Bank of America (New York, NY)
- …supporting business objectives and contributing to market profitability by influencing Financial Advisor business practices to minimize regulatory , financial ... Financial Advisors (FA) business practices in ways that minimize regulatory and financial risk as well as uphold the Firms' reputation. Additionally, they… more
- Wells Fargo (New York, NY)
- …accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively ... accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively… more
- JPMorgan Chase (New York, NY)
- …Implement the appropriate risk-focused oversight controls. + Review and approve Funds' financial statements and regulatory filings; coordination of all audit ... collective investment and ETFs) and activities from an investment, operational, regulatory , accounting and financial reporting perspective. + Knowledge and… more
- Molina Healthcare (Albany, NY)
- …responses for CMS audits and data-validation reviews * Ability to quantify financial , regulatory , and member-experience risk from complaint trends and to ... remediation when gaps surface. 5. Innovation & Enablement - Scout regulatory changes and proven technologies (eg, CTM API integrations, automated acknowledgment… 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 ... heard and your actions to count?** Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), one of the world's leading financial groups. Across… 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 ... heard and your actions to count?** Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), one of the world's leading financial groups. Across… 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 ...risk implications and funding requirements. + Keep abreast of regulatory developments and interpret the impact on Liquidity and… 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 ...risks for MUFG + Conduct business in line with regulatory requirements GLOBAL COLLABORATION + Develop strong internal networks… more
- New York State Civil Service (New York, NY)
- …dissolutions, stockholder meetings and other related corporate actions; commercial financial documentation and negotiation; bank regulatory experience; insurance ... NY HELP No Agency Financial Services, Department of Title Associate Attorney ...and adopted regulations;* Provides legal advice on matters regarding regulatory actions and developing legal approaches to accomplish various… more
- New York State Civil Service (Albany, NY)
- … institution programs, policies, and procedures for compliance with legal and regulatory requirements.* Evaluating financial costs for the failure of ... NY HELP No Agency Financial Services, Department of Title Virtual Currency Senior...governance, compliance, and internal audit controls; BSA/AML program; operational, regulatory and legal risks and controls; risk management program;… more