- City National Bank (New York, NY)
- …equivalent * Minimum 7 years of lending, compliance, and regulatory reporting . * Minimum 5 years of financial services experience *Additional Qualifications* ... ensuring controls are in place to mitigate compliance risk. Maintaining regulatory change management, policies and procedures, training, and advisory matters for… more
- CIBC (New York, NY)
- …Financial Markets, Financial Modeling, Global Market, Investments, Management Reporting , Market Trading, Regulatory Environment, Researching At CIBC, we ... Equity Derivatives, Delta1, ETF create/redeem. + Assist with surveillance of various regulatory reporting obligations, including: CAT, Nasdaq TRF, LOPR +… 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 ... Provide oversight and independent challenge on business activities and initiatives with regulatory impact. + Serve as a compliance advisor to business partners… more
- City National Bank (New York, NY)
- …* Assist with regulatory filings such as Form ADV and CFTC reporting . * Provide guidance and coaching to colleagues on interpretation and application of ... effective controls are in place to mitigate compliance risk. Maintaining regulatory change management, policies and procedures, training, and advisory matters. This… more
- Datavant (Albany, NY)
- …to continuous improvement. **Note: This position is not focused on nor responsible for financial auditing or SOX financial reporting , but will coordinate ... General's (OIG) compliance program guidance and healthcare industry internal audit standards. Reporting to the Chief Compliance and Privacy Officer, the Director of… more
- American Express (New York, NY)
- …materials related to credit and fraud decisioning. **Minimum Qualifications:** + Deep regulatory knowledge of the financial regulations applicable to the ... regulatory frameworks, and/or operational standards. + Experience within financial services industry. + Strong analytical and problem-solving skills, with an… more
- TD Bank (New York, NY)
- …included in the US Compliance Department Mandate; and the Legal and Regulatory Compliance (including Financial Crime) Management Framework ("LRC RMF") + ... program issues. This role oversees Board and Executive level reporting . As such this role is responsible to set...that satisfy all TD Bank Group ("TDBG") applicable US regulatory requirements and align with industry leading practices and… 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
- TD Bank (New York, NY)
- … compliance risk management and oversight of business line(s) supported + Manages regulatory change and provide trusted and reliable reporting , advice and ... + Extensive Operational knowledge as pertains to implementation of regulatory requirements + In-depth knowledge of financial ...of regulatory requirements + In-depth knowledge of financial services regulatory industry practices + Strong… more
- Mizuho Corporate Bank (New York, NY)
- …+ Track the risk mitigation and test the remediation plan completion. + Ensure regulatory reporting processes are properly enforced, and ROI maintained. + Manage ... risk and enabling Mizuho to meet growing business expectations and regulatory requirements. Operational Resilience Practitioner As part of Mizuho Americas' ongoing… more