- Scotiabank (New York, NY)
- …business controls to meet obligations with respect to operational risk, regulatory compliance risk, AML/ATF risk and conduct risk, including but not limited to ... responsibilities under the Operational Risk Management Framework, Regulatory Compliance Risk Management Framework, AML/ATF Global Handbook and the Guidelines for… more
- US Bank (New York, NY)
- …performance, and continually monitor risk profile of debt transactions in compliance with all applicable banking regulatory requirements and internal procedures. + ... revision of internal policies and procedures. + Actively ensure compliance with the US Bank Code of Ethics and...positions may also be subject to the requirements of FINRA , NMLS registration, Reg Z, Reg G, OFAC, the… more
- Scotiabank (New York, NY)
- …including sales, structuring, pricing, execution, funding, risk management, legal, compliance , client management/onboarding and all operational pieces. Analyze US ... derivative solutions to the Bank's Corporate clients. Work with legal/tax/ compliance to review non-standard trade documents, articulate exotic structures to… more
- Citigroup (New York, NY)
- …applicable **Qualifications:** + Relevant experience in Capital financial industry; compliance /supervisory/business risk experience preferred + FINRA Series 7, ... and escalate to Senior Management and partners including, but not limited to, Compliance , Legal, AML, Regional Business Risk, Regional COO and Sales Management +… more
- HSBC (New York, NY)
- …are applied in all actions and across all responsibilities. Ensure compliance with regulatory requirements and internal policies by collaborating with internal ... be able to obtain within 90 days of joining FINRA Series 7 and 63 certifications. **If you would...to this position, please click the 'Apply' button.** _In compliance with applicable laws, HSBC is committed to employing… more
- SMBC (New York, NY)
- …and offerings. + Develop strong relationships across all functional areas including Risk, Compliance , Legal, Audit, and HR. + Manage team of product managers and ... around product features and customer value proposition. Interface with legal, compliance , risk management and other internal control and operations leadership teams… more
- SMBC (New York, NY)
- …Provide feedback and guidance, as necessary, to business units to ensure compliance with internal policies and procedures standards. + Monitor and supervise problem ... loan reviews and pass watch or any special credit reviews. + Manage compliance with internal policies, workflow procedures and ensure US regulatory requirements are… more
- SMBC (New York, NY)
- …around product features and customer value proposition. Interface with legal, compliance , risk management and other internal control and operations groups to ... + Experience working in an environment where adherence to banking compliance and regulatory standards is essential. **Qualifications and Skills** Recommended years… more
- Broadridge Financial Solutions (Edgewood, NY)
- …MQ governance modelsnaming conventions, access controls, TLS/mutual auth, and compliance enforcement. + Define audit logging, configuration baselines, and change ... or internal tools. + Partner with Broadridge Security team to ensure compliance with encryption, access control, and audit policies. Leadership & Enablement +… more
- SMBC (New York, NY)
- …advanced mathematical and statistical techniques to manage risk and ensure compliance with regulatory requirements. * Collaboration: Work closely with software ... learning techniques and their application in trading strategies. * Regulatory Compliance : Understanding of regulatory requirements and risk management practices in… more