- MUFG (New York, NY)
- …credit divisions. + Maintain direct communication with assigned customers. + Ensure compliance with policy and regulatory requirements (eg, ACR, AOA, FSA, OCC, and ... pertinent to making a decision with little support from management. **Policy Compliance :** + Ensure compliance with external regulatory/internal policy and… more
- SMBC (New York, NY)
- …control office, helping to oversee effective governance, risk management, and compliance across the organization. + Program Management: Assist with managing multiple ... Office and for various front office processes and programs, ensuring compliance with regulatory requirements, internal policy, and industry standards. Develop clear… more
- Marex (New York, NY)
- …awards. + Group SOX process owner for variable pay and deferred equity, ensure compliance within the group and by service providers. Cost Control + Work with HR ... may be developed from time to time. + Ensuring compliance with the company's regulatory requirements under the SEC,... with the company's regulatory requirements under the SEC, FINRA , NFA, CFTC and other applicable exchanges. + Adhere… more
- Motion Recruitment Partners (New York, NY)
- …trading desk (NASDAQ) and SEC regulatory requirements. * Background in Legal/ compliance , audit, or data/metrics backgrounds * Knowledge of the US regulatory ... and listening in English. * Time management skills. **Desired Skills & Experience** * FINRA registrations (eg, Series 7, 55, 63). * Experience or comfort with EDGAR… more
- MUFG (New York, NY)
- …assigned portfolio utilizing internal and external sources. + Oversee covenants compliance database and facility closing due diligence, including documentation. + ... regard to exposure on both a transaction and group level. + Ensure compliance with policy and regulatory requirements. **Skills and Experience:** Ideally you would… more
- PNC (New York, NY)
- …risk management program and corresponding communication strategies. Reviews and challenges compliance with programs. + Ensures the risk management program is ... risk expertise while working with the businesses and other risk partners (eg, Compliance , Technology Risk, etc.) to proactively identify risk exposures across PNC. +… more
- MUFG (New York, NY)
- …agreements, and coordination of transaction documentation. + Coordinate with internal legal, compliance , and risk teams to ensure all transactions comply with bank ... memos for senior management. + Collaborate with credit, legal, risk, and compliance teams to address concerns and secure necessary approvals. + Ensure that… more
- US Bank (New York, NY)
- …of the Legal Regulatory Group, the Law Division, Risk Management and Compliance , Audit, Finance, and Government Relations when providing legal subject matter ... legal support and guidance on enterprise-wide regulatory reporting and compliance projects. + Review and analyze regulatory issuances and...positions may also be subject to the requirements of FINRA , NMLS registration, Reg Z, Reg G, OFAC, the… more
- SMBC (New York, NY)
- …tools. You will also help advise senior leaders in Risk, Business, and Regulatory Compliance functions on the operation of their businesses in a manner consistent to ... strategy for climate-related financial risk assessment and analytics. **Regulatory Compliance & Reporting:** Partner with relevant corporate functions, eg regulatory… more
- MUFG (New York, NY)
- …and Cyber Security** **:** + Identify and assess risks related to compliance with privacy laws and regulations applicable to the financial services industry, ... state, and global laws related to data privacy, data security, and privacy compliance , including regulations and requirements, such as GDPR, CCPA/CPRA, etc. + Strong… more