- CIBC (New York, NY)
- …CIBC policies and regulatory requirements. **How You'll Succeed:** + Providing ongoing Compliance advisory services on regulatory matters to personnel in ... requirement group topics to determine risk ratings under CIBC's Regulatory Compliance Management framework; + Assist in...day, our 44,000 employees help our clients achieve their financial goals, because what matters to our clients, matters… more
- TD Bank (New York, NY)
- …drafting, updating, and implement relevant policies and procedures. + Provide regulatory / compliance training. + Participate in internal investigations, respond ... trading systems and market structure preferred + Significant experience in providing legal, regulatory or compliance advice to Equity Sales & Trading Businesses… more
- JPMorgan Chase (New York, NY)
- …in-depth analysis of product usage and trading performance, ensuring adherence to regulatory requirements, and maintaining a strong knowledge of futures trading and ... product suite solutions. + Partner with business analysts, core technology, legal/ compliance , operations, and sales and trading teams to optimize product… more
- Raymond James Financial, Inc. (New York, NY)
- …Bachelor's degree (BA /BS) and a minimum of eight (8) years of experience in Compliance and/or the financial services industry preferred. ~or~ + Any ... compliance . + Rules and regulations of: Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); state securities regulatory … more
- HSBC (New York, NY)
- …investors, our communities and the planet we all share. As Risk Stewards, Regulatory Compliance (RC) Advisors provide advice, guidance, opinions, direction, and ... as a regulatory coordinator and central point of contact providing regulatory compliance advisory support on transactions, strategic initiatives and projects… more
- American Express (New York, NY)
- … Compliance & Ethics organization, responsible for administering a comprehensive regulatory compliance program for the Technology (Tech) business unit. This ... compliance officer teams across American Express' Global Shared Services . As the leader of this Compliance ...programs and appropriate for the business activities and inherent compliance risks. + Support regulatory examinations, internal… more
- Capital One (New York, NY)
- …Bachelor's Degree or military experience + At least 6 years of experience in regulatory compliance , risk management or anti-money laundering (AML) compliance ... or payment networks + Certified Anti-Money Laundering Specialist (CAMS) or Certified Regulatory Compliance Manager (CRCM) certification At this time, Capital One… more
- Coinbase (Albany, NY)
- … Compliance Program Manager to oversee the execution of high-priority regulatory compliance Programs within the company's Transaction Monitoring (TMS) and ... This role involves leading strategic, multi-regional Programs to ensure compliance with global AML regulatory bodies. The...years of proven transaction monitoring / AML experience in financial services or technology organizations. * 3+… more
- MTA (New York, NY)
- …(CHMM), Certified Environmental Professional (CEP) Proven track record of leading regulatory compliance efforts and managing interactions with federal, state, ... with regulatory agencies to address audit findings and maintain compliance . Monitor regulatory changes and adjust internal practices accordingly. Contractor… more
- TD Bank (New York, NY)
- …**Customer Accountabilities:** + Proactively advises the business of new and changed Compliance regulatory and/or policy changes + Formulates relevant and ... experience **Desired Skills & Experience:** + JD, CRCM or Regulatory consumer compliance commissioning experience + Strong...banking experience or are just starting your career in financial services , we can help you realize… more