- JPMorgan Chase (New York, NY)
- **Summary** The Business Implementation and Regulatory Strategy (Americas) will be responsible for the design, execution and strategic direction of work addressing ... business and regulatory requirements across Lines of Business and Risk Functions...+ Bachelor degree and 8+ years of experience in financial services with particular focus on credit/counterparty and/or market… more
- CVS Health (Albany, NY)
- …leaders, engaging with key stakeholders on compliance related issues to meet regulatory and legal obligations to prevent, detect, and mitigate compliance risks. ... developing effective communications and trainings when needed. + Prepares regulatory reports, regulatory filings and follow up...and benefits - investing in the physical, emotional and financial wellness of our colleagues and their families to… more
- Equitable (New York, NY)
- …corporate goals. Your role is pivotal in crafting and executing legal, regulatory , and policy initiatives that propel Equitable's interests forward. This individual ... and policy proposals, leveraging your deep expertise in life insurance regulatory areas such as capital, solvency, liquidity, investments, reinsurance, retirement… more
- TD Bank (New York, NY)
- …Description:** The Global Compliance Surveillance Department is responsible for overseeing regulatory compliance across TDS in accordance with the Global Compliance ... Operating Framework. The team is accountable for promoting regulatory compliance by developing and maintaining a comprehensive communications surveillance program,… more
- TD Bank (New York, NY)
- …that alert review processes align with firm requirements and global regulatory expectations. **Department Overview:** Our team of trusted Surveillance Compliance ... Director of Quality Assurance with providing advice, guidance and expertise on regulatory requirements and assisting business units to manage their regulatory … more
- BMO Financial Group (New York, NY)
- Our ideal candidate should possess experience in handling various financial instruments such as equity, derivatives, structured liquidity derivatives, trading ... and leads the execution of strategic initiatives to deliver on business and financial goals. + Measures the effectiveness of risk governance system and framework;… more
- Robert Half Accountemps (Rochester, NY)
- …work. The role focuses on delivering exceptional customer service, resolving financial discrepancies, and ensuring compliance with regulatory standards while ... to the Fair Debt Collections Practices Act and other relevant regulatory requirements. Requirements * Bachelor's degree in business administration is preferred.… more
- Tradeweb (New York, NY)
- …trading for rates, credit, equities, and money markets. As financial markets become increasingly interconnected, our technology enables efficient, multi-asset ... News & World Report as one of the _Best Financial Services Companies to Work For_ . Tradeweb Markets...can integrate privacy considerations into the entire data lifecycle-ensuring regulatory alignment and ethical standards in AI use cases.… more
- Mizuho Corporate Bank (New York, NY)
- …reducing risk and enabling Mizuho to meet growing business expectations and regulatory requirements.As part of Mizuho Americas' ongoing efforts to building a more ... leadership to ensure the program is comprehensive, effective, and aligned with regulatory expectations and industry best practices. Key areas of focus include… more
- City National Bank (New York, NY)
- …and interacting with regulatory agencies, including exam management and other regulatory affairs. * Experience with a financial institution such as a ... MONITORING MANAGER *ABOUT US* City National Rochdale (CNR) partners with financial advisors and their high-net-worth clients to build intelligently personalized… more