- KeyBank (Amherst, NY)
- …of testing and continuous monitoring to evaluate Key's compliance with regulatory requirements. Individuals work both autonomously on assignments and in ... to ensure the Bank's policies and procedures are consistent with applicable regulatory requirements and expectation and industry best practices. + Responsible for… more
- TD Bank (New York, NY)
- …applicable to the discipline * Adhere to internal policies/procedures and applicable regulatory guidelines * Keep abreast of emerging issues, trends, and evolving ... regulatory requirements and assess potential impacts * Maintain a...colleagues to help them and their families achieve their financial , physical and mental well-being goals. Total Rewards at… more
- Motion Recruitment Partners (New York, NY)
- …global banks and trusted brand with over 200 years of continuously evolving financial services worldwide. You will work alongside some of the smartest minds in ... platforms (ATS, electronic exchanges), trading desk (NASDAQ) and SEC regulatory requirements. * Background in Legal/compliance, audit, or data/metrics backgrounds… more
- TD Bank (New York, NY)
- …activities remain within TD Bank's risk appetite and comply with external regulatory requirements. The team is responsible for ensuring timely and consistent ... TDS G&C is to support all TDS businesses globally in adherence to regulatory requirements, managing risk and having effective operational controls in place. The… more
- University of Rochester (Rochester, NY)
- …research data + Reviews study progress, including coordinating and monitoring financial data for budget and variance reporting, documentation, and reporting ... for complex studies. + Completes annual performance evaluations/reviews for HSRS I. ** Regulatory Oversight:** Oversees and manages the regulatory details for… more
- Axis (New York, NY)
- …the organization's resilience and preparedness for business disruptions, aligning with regulatory requirements and industry best practices. This position plays a ... senior leadership and the Board on continuity risks and mitigation strategies. + ** Regulatory & Audit Compliance** + Ensure compliance with global regulatory … more
- Raymond James Financial, Inc. (New York, NY)
- …risk information. . Ensures the business risk management practices comply with regulatory requirements and industry best practices. Also, engages with regulators to ... risk controls and segregation of duties . Relevant risk-based regulatory schemes including Basel I and Basel II and...Mathematics, with a minimum of fifteen (15) years of financial services experience required . Experience in broker-dealer or… more
- Citigroup (New York, NY)
- …up to the Board level and extensive experience engaging with regulatory bodies. **Key Responsibilities** + **Governance Framework Development** : Design, implement, ... tailored to the evolving needs of the Strategic Ledger Initiative. + ** Regulatory Support** : Ensure the initiative anticipates and addresses the requirements of… more
- HSBC (Buffalo, NY)
- …Management holds a technical/business analyst position on the D&A Risk, Finance and WPB Regulatory Team and acts as a Subject Matter Expert for Regulatory Card ... you will: + Process and Data Steward for Card and RBB Basel Regulatory Reporting process + Card responsibilities that include the Semi-Annual Rate Review Process… more
- Amazon (New York, NY)
- …seeking a dedicated and knowledgeable Compliance Manager to oversee and manage regulatory challenges, to include Fire Code Compliance. This includes Certificate of ... - tracking, training, renewal, auditing, and coordination with stakeholders to reduce regulatory risk and maintain operational readiness. US and Canada Fire Code… more