- Raymond James Financial, Inc. (New York, NY)
- …objectives and develops processes and procedures to ensure adherence to all regulatory requirements. * Partners with business units to recommend policy and process ... committees and/ or working groups as needed. * Research regulatory updates to identify linkages and trends and apply...linkages and trends and apply findings. * Performs periodic reporting on compliance and operational issues as required. *… more
- American Express (New York, NY)
- …an impact in this role?** The Manager, Market & Liquidity Risk Governance will be reporting to Director - Market & Liquidity Risk, within the Financial Risk ... policies and standards in line with company policies and regulatory expectations + Engage with stakeholders across line of...across liquidity and market risk teams, such as risk reporting and data capabilities + Provide effective challenge to… more
- JPMorgan Chase (Brooklyn, NY)
- …across the firm to drive business results while adhering to regulatory constraints and internal controls. **Job responsibilities** Focus on capital allocation ... and methodology for CIB including the following: + Drive consistency in financial resource allocations and business incentives across the firm, product segment,… more
- Mizuho Corporate Bank (New York, NY)
- …( eg macros, vlookups , pivot tables, etc.) + Experience with Audits and Regulatory Reporting (NFA/SEC) + Strong sense of personal responsibility and ownership ... + Manage the annual preparation and issuance of the financial statements + Monitor and advise on fund tax...Assist with regulatory compliance, including filings of regulatory forms (NFA/SEC) + Assist with investor reporting… more
- Scotiabank (New York, NY)
- …("RCSAs"), Risk identification, Operational Risk Events, Key Risk Indicators ("KRIs"), Non- Financial Risk Management Committee, and ongoing reporting and ... of 2-3 years' experience working in an enterprise risk, reporting or risk role at a financial ...institution. + Working knowledge of Capital Markets and current regulatory environment in the Financial Services industry.… more
- American Express (New York, NY)
- …Practices group responsible for managing audit operations, quality, and standards; regulatory relations; reporting ; training and professional development; and ... practices throughout the audit lifecycle and special reviews. + Understanding of regulatory , accounting, and financial industry best practices relevant to the… more
- TD Bank (New York, NY)
- …MSRB RTRS Reporting and US Treasury Auctions + Identify key regulatory changes, and developments relevant to the business areas and proactively communicate the ... advice, guidance and support to business units in adhering to regulatory /compliance requirements and assists in implementing compliance initiatives to help manage… more
- MUFG (New York, NY)
- …of experience of internal audit and/or equivalent of experience with the financial services industry, related markets, and related regulatory agencies. + ... (b) they do not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association… more
- Raymond James Financial, Inc. (New York, NY)
- …risk data across systems to ensure accuracy and completeness. + Support regulatory and internal reporting requirements, including CCAR, Basel, Market Risk ... play a key role in the independent oversight and reporting of market risk exposures across Fixed Income, Structured...role requires strong analytical skills, a solid understanding of financial markets, and the ability to communicate risk issues… more
- SMBC (New York, NY)
- …concepts (VaR, stress-testing, and counterparty exposure estimation, documentation and reporting approaches). - Understand regulatory requirements applicable to ... SMBC Group is a top-tier global financial group. Headquartered in Tokyo and with a...oversight processes across SMBC entities. This includes committee governance, regulatory and audit engagement, and issue management. The VP… more