- Wells Fargo (New York, NY)
- …for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively following ... Sales organization provides innovative solutions that allow companies to manage their financial operations, including systems and services related to liquidity,… more
- Santander US (Brooklyn, NY)
- …**Your Journey Starts Here:** Santander is a global leader and innovator in the financial services industry. We believe that our employees are our greatest ... or through digital channels. + Ensure compliance with all regulatory requirements and internal policies related to risk...(OR) + 12+ Months Experience in Retail Banking sales, financial services sales or consultative relationship sales… more
- Janus Henderson Investors (New York, NY)
- …time and risk accordingly + Strong communication, interpersonal, and customer service skills + Independent judgement with strong analytical and risk ... Janus Henderson is to help clients define and achieve superior financial outcomes through differentiated insights, disciplined investments, and world-class … more
- MUFG (New York, NY)
- …experience in structured finance, credit solutions, or a similar role in the financial services industry + Strong critical thinking abilities, attention to ... to craft solutions that align with client objectives and risk tolerance. + Maintain awareness of evolving market trends...not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the… more
- Lincoln Financial (Albany, NY)
- …and system development + Knowledge of internal controls, business / information technology risk , regulatory and compliance frameworks (ITIL, NIST, COBIT, NY DFS, ... Plan audit engagements, identify inherent risks and control objectives, perform risk assessments and identify IT-related risks and vulnerabilities based on business… more
- TD Bank (New York, NY)
- … regulatory requirements and assisting business units to manage their regulatory risk . **Key Accountabilities** Shareholder + Consistently exercise discretion ... of the organization - identify and manage risks, and escalate non-standard, high- risk activities as necessary + Conduct reporting and / or meaningful analysis… more
- Wells Fargo (New York, NY)
- …for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively following ... client events + Utilize independent judgement to complete moderate risk deliverables + Present recommendations to develop, implement, and...2+ years of experience at a global, highly matrixed financial services firm + Experience working in… more
- City National Bank (New York, NY)
- …a subsidiary of Royal Bank of Canada, one of North America's leading diversified financial services companies. To learn more about City National and our dynamic ... develop understanding other key processes around KYC/onboarding, fundings, internal risk limits (eg industry, product, financial institutions, sovereign),… more
- CIBC (New York, NY)
- … regulatory requirements. **How You'll Succeed:** + Providing ongoing Compliance advisory services on regulatory matters to personnel in swaps sales and ... + Assisting in the preparation of written responses to regulatory exams and inquiries; + Performing risk ...day, our 44,000 employees help our clients achieve their financial goals, because what matters to our clients, matters… more
- Wells Fargo (Hempstead, NY)
- …for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively following ... with customers to understand their needs and provide high quality customer service ; inform prospective and existing customers of Wells Fargo Home Mortgage programs;… more