- MUFG (New York, NY)
- …issues and partner with stakeholders in opening issues (Audit/ Compliance /Management Identified)Completing Issue Closure TemplatesAcquiring the necessary management ... external risk events for potential impact to control environment + Audit/ Compliance + Assist in Preparation/Maintenance/Tracking of Audit/ Compliance Calendar +… more
- MUFG (New York, NY)
- …for market research and producing portfolio presentations for management **Policy Compliance ** + Ensure compliance with external regulatory/internal policy and ... to explain transaction structures to management + Knowledge of legal and compliance regulations and accounting rules pertinent to securitized lending + Good… more
- MUFG (New York, NY)
- …and funding of discounting transactions. + Interact with RMs, credit, legal, compliance and other internal teams + Frequent interaction with middle and back ... office teams. + Ensure transactions adhere with the banks compliance , risk and regulatory frameworks. + Execute documentation and booking of transactions +… more
- SMBC (New York, NY)
- …strong mandate to overhaul CCR function and build a comprehensive CCR framework in compliance with SR 11-10 and BCBS CCR guidelines. The role will focus on expanding ... audits. + Represent CCR team in CCAR activities - ensure IHC CCAR compliance by conducting comprehensive gap analysis against SR 15-18, assist in designing and… more
- MUFG (New York, NY)
- …transactions, structures, and syndicated arrangements. + Work closely 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
- ADP (Buffalo, NY)
- …Qualifications_ + Securities Industry Essentials (SIE) and Financial Industry Regulatory Authority ( FINRA ) Series 6 and 63 licensing is a plus; candidates with great ... and a leader in business outsourcing services, analytics, and compliance expertise. We believe our people make all the...conducting business with the highest ethical standards and full compliance with all applicable laws. We also expect our… more
- SMBC (New York, NY)
- …& Ethics** Establish frameworks for responsible AI, including fairness, transparency, and compliance .Collaborate with legal, risk, and compliance teams to ensure ... may not be permitted for certain roles, including, for example, certain FINRA -registered roles for which in-office attendance for the entire workweek is required.… more
- MUFG (New York, NY)
- …instill and demonstrate sustained performance with performance management/reporting, compliance , issue/escalation management, and continuous improvement routines are ... goals + Conduct regular business reviews with key suppliers to ensure compliance with contract deliverables **Market Research & Analysis** + Provide full and… more
- MUFG (New York, NY)
- …Relationship Managers/Product Groups to enable more enriched discussions on risk/AML/Sanctions compliance issues, while managing the progress of KYCs from an end ... while fulfilling responsibilities related to Request for Information (RFIs) related to KYC/risk/ compliance issues identified as part of the KYC due diligence; +… more
- MUFG (New York, NY)
- …+ Define and implement best practices for cloud security, governance, and compliance + Optimize cloud performance, scalability, and availability + Integrate cloud ... services and features + Strong knowledge of cloud security, governance, and compliance standards and frameworks + Strong knowledge of cloud native technologies and… more