- BMO Financial Group (New York, NY)
- …and Commodities ("FICC") LOBs and other internal business partners to ensure regulatory , corporate and fiduciary obligations are met. You will have a specific ... BMO's Fixed Income activities, and maintain current knowledge of regulatory requirements and developments, monitoring risk/trade surveillance, and identifying and… more
- Bank of America (New York, NY)
- …to complete all activities. Decisions made will have significant impact to the firms Regulatory , Financial , Reputational and Operational risk to the Bank. On a ... are guided by a common purpose to help make financial lives better through the power of every connection....an effort to keep the firm compliant to FDIC Regulatory requirements. Employees at this level are often required… more
- TD Bank (New York, NY)
- …relevant policies and procedures + Ensure governance documents align with regulatory expectations, internal standards, industry best practices, and enterprise risk ... Ensure the updating of relevant governance documentation adequately reflects evolving legal, regulatory , and industry best practices + Lead and draft responses to… more
- Citigroup (New York, NY)
- …agreements. + **Analytical Thinking:** Strong capability to analyze market data, financial information, and regulatory frameworks to derive actionable insights. ... Receipt programs (eg, ADRs, GDRs), including program structure, lifecycle management, regulatory compliance (eg, SEC filing requirements), and market dynamics. +… more
- TD Bank (New York, NY)
- …risk management, operational risk management, or audit experience within a regulated financial service or FinTech environment + Deep understanding of Risk Control ... Self-Assessment, Control Testing frameworks, risk assurance methodologies, and regulatory expectations. + Advance proficiency with GRC platforms (preferably… more
- TD Bank (New York, NY)
- …payments, ensuring business practices align with applicable federal and state regulatory requirements. The position requires strong regulatory knowledge, issue ... and independent challenge on business activities and initiatives with regulatory impact. + Serve as a compliance advisor to...Are:** TD is one of the world's leading global financial institutions and is the fifth largest bank in… more
- Citigroup (New York, NY)
- …degree; experience in compliance, legal or other control-related function in the financial services firm, regulatory organization, or legal/consulting firm, or a ... internal strategies, policies, procedures, processes, and programs to prevent violations of law , rule, or regulation and design and deliver a risk management… more
- City National Bank (New York, NY)
- …Bachelor's Degree or equivalent * Minimum 7 years of lending, compliance, and regulatory reporting. * Minimum 5 years of financial services experience ... ensuring controls are in place to mitigate compliance risk. Maintaining regulatory change management, policies and procedures, training, and advisory matters for… more
- City National Bank (New York, NY)
- …executive decision-making. * Expertise in OCC, FRB, FFIEC, and other financial regulatory requirements, including technology requirements, regulatory ... WHAT IS THE OPPORTUNITY? The Senior Manager will lead the T&I Regulatory Remediation Oversight function within T&I Strategic Planning & Governance Office. Reporting… more
- Marex (New York, NY)
- Diversified. Resilient. Dynamic. Marex is a global financial services platform, providing essential liquidity, market access and infrastructure services to clients ... in the energy, commodities and financial markets. The Group provides comprehensive breadth and depth of coverage across four core services: Market Making, Clearing,… more