- Wells Fargo (New York, NY)
- …implementing pricing, risk, and analytics models, supporting regulatory and compliance requirements and collaborating with traders, quants, product and other ... platform issues of a technically challenging nature + Lead team to ensure compliance and risk management requirements for supported area are met and work with… more
- Wells Fargo (New York, NY)
- …plans. Maintain all system diagrams, system interface charts and any other compliance policy and procedure documents. Work closely with quality assurance on the ... a technically challenging nature + Lead team to ensure compliance and risk management requirements for supported area are...and processes + Basic knowledge and understanding of SEC, FINRA and international regulations + Working knowledge on Agile… more
- SMBC (New York, NY)
- …comply with SMFL Credit Policy, CRVD standards and other SMBC credit and compliance regulatory expectations. + Ensure that all Underwriting Policy and RAC exceptions ... update applicable scorecards, monitor limits, oversee data accuracy to ensure compliance with business and institutional guidelines and ensure data integrity in… more
- Wells Fargo (New York, NY)
- …platform issues of a technically challenging nature + Lead team to ensure compliance and risk management requirements for supported area are met and work with ... algorithms, memory management, etc. + Basic knowledge and understanding of SEC, FINRA and international regulators + Domain expertise in Fixed Income (Rates, Spread)… more
- Marex (New York, NY)
- …+ Monitoring of credit lines and sanction screening queues. + Help set up compliance , financial crime and fraud detection and AML processes and procedures + Act as ... Open and maintain accounts with correspondent banks and funding banks + Ensuring compliance with the company's regulatory requirements under the SEC, FINRA , NFA,… more
- Citigroup (Queens, NY)
- …supporting members of the Investments Leadership team with assessment of operational, compliance and reputational risks and the design of effective controls to ... and insurance processes around client suitability, transaction related controls and compliance with policies and applicable global/ local regulations. + Take an… more
- SMBC (New York, NY)
- …align with organizational objectives and meet established standards for performance, compliance , and risk management. A key responsibility of this position is ... Coordinate the onboarding process for new vendors, including risk assessments, and compliance reviews. + Ensure all vendors meet internal policies and regulatory… more
- SMBC (New York, NY)
- …distributions, etc. Follow up on delivery of Borrower's reporting requirements (ie compliance items) Review compliance documents submitted by borrowers for ... completeness and satisfaction of requirements in loan documents Distribute compliance items and other documentation to lender groups using DebtDomain, e-mail, etc.… more
- US Bank (New York, NY)
- …activities, including covenant tracking/monitoring, loan onboarding, loan documentation, compliance reporting, annual reviews, and exception monitoring. + Apply ... monitoring of assigned credit portfolios, including past dues, payments, covenant compliance , and collateral reporting. + Partner with Relationship Managers and… more
- US Bank (New York, NY)
- …with Senior to Executive Leaders in their assigned Line of Business, Risk/ Compliance /Audit (RCA) Consultants, RCA Managers and other Senior RCA Managers to, ... management framework. Accountable for projects and/or activities that ensure compliance with applicable federal, state, and local laws and...positions may also be subject to the requirements of FINRA , NMLS registration, Reg Z, Reg G, OFAC, the… more