- Hudson Valley Community College (Troy, NY)
- …record keeping and reporting systems. * Prepare monthly, quarterly and annual financial statements; assist with regulatory reporting as applicable. * ... or related field; five years of experience in analysis, maintaining financial accounts and records, proficiency with Microsoft Office products, strong interpersonal… more
- SMBC (New York, NY)
- …support across the Advisory Function with respect to broker-dealer-applicable regulatory engagements, support function coordination, governance and reporting . ... (ie, Registrations, Outside Business Activities and Personal Account Dealing) + Financial Crimes Compliance + Regulatory Change Management + Compliance… more
- JPMorgan Chase (New York, NY)
- …effective relationships within Compliance and with the Business, Operations, Finance, Regulatory Reporting , Technology, Control Management, Legal and Internal ... status quo and striving to be best-in-class. As a Regulatory Strategy Senior Officer - Associate within the Firmwide...Provide periodic examination status updates and contribute to internal reporting and tracking. + Help ensure data quality for… more
- JPMorgan Chase (New York, NY)
- …functions within JPMorgan Chase to deliver fulsome and consistent responses to regulatory inquiries. + Provide reporting to senior stakeholders highlighting ... engagements. + Knowledge of and experience with regulators' exam processes and regulatory matters JPMorganChase, one of the oldest financial institutions, offers… more
- Mizuho Corporate Bank (New York, NY)
- …regulatory interactions. The AVP will also assist in the oversight of regulatory remediation program and associated reporting to senior management and ... or equivalent required. + 5+ years of experience in financial institution. + Banking/ Regulatory Experience: + General...executing enhancements and assessing the impact to end users, reporting , etc. + Execution Skills: + Highly organized to… more
- TD Bank (New York, NY)
- …include, but are not limited to, the following: + Facilitate responses to regulatory requests, prepares related reporting for internal and external stakeholders, ... teams for regulatory matters. + Contribute to Board of Director reporting + Participate in relevant initiatives/projects. + Provide recommendations on any Audit… more
- TD Bank (New York, NY)
- …change activities. Ensuring compliance with all internal governance documents and regulatory requirements.** **Establish and maintain comprehensive reporting and ... dedicated to setting new industry standards. **U.S. Compliance Risk and Reporting Team is responsible for supporting change management initiatives, conducting… more
- TD Bank (New York, NY)
- …Compliance for Credit Cards and Unsecured Lending, specifically related to regulatory compliance monitoring. This role will execute monitoring, conduct regulatory ... monitoring program + Manages and/or perform independent compliance reviews of regulatory requirements impacting the products supported + Conducts regulatory … more
- TD Bank (New York, NY)
- …Experience in trade or communications surveillance a plus. + Firm understanding of financial product rules and regulatory landscape, as well as a strong ... and penchant for learning new business areas and developing understanding of financial institution's products and regulatory requirements and obligations. +… more
- TD Bank (New York, NY)
- …by regulators covering various businesses, functions and topics, including operations, finance, regulatory reporting , and sales and trading, and prepare business ... requests. + Provide periodic examination status updates and contribute to internal reporting and tracking related to examinations and regulatory findings. +… more