- 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
- US Bank (New York, NY)
- …for key initiatives. 9. Act as a liaison between sales, technology, compliance , and operations to ensure alignment and execution of strategic priorities. Facilitate ... workshops, training sessions, and stakeholder meetings. 10. 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
- MUFG (New York, NY)
- …registration in the bank's Core Systems ensuring customer information is in compliance with applicable laws, regulations and industry standard practice and taking ... all bank documents ("Legal Documents") submitted with business transactions and maintain compliance with all bank policies and procedures and work in a professional… more
- Citigroup (New York, NY)
- …enhancing business profitability, and strengthening risk and controls and regulatory compliance . The product manager will help scope and define the requirements ... to deliver these. They will also liaise with other key stakeholders (legal, compliance , risk, etc) in solution design and delivery. + **Regulatory and industry… more
- SMBC (New York, NY)
- …RCSAs), as required * Ensures the business unit is operating in compliance with applicable laws, rules, and regulations, provides oversight of processes designed ... Loan Obligations issuance process + Knowledge of Capital Markets, CLO, Loans compliance and risk management requirements & best practices + Strong leadership and… more
- Citigroup (New York, NY)
- …to be considered, and seeks or grants approvals as appropriate. + Ensure compliance on regulatory requirements and minimizes any potential liability for Citi. + ... firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying… more
- Scotiabank (New York, NY)
- …updates to various US and Canadian regulators including the Federal Reserve/DFS, FINRA , and OSFI. Lead frequent discussions and presentations of materials to these ... business controls to meet obligations with respect to operational, compliance , AML/ATF/sanctions and conduct risk. REQUIREMENTS: Master's degree or foreign… more
- MUFG (New York, NY)
- …the risk/return dynamic and on minimizing potential credit costs. (3) Policy Compliance + Ensure compliance with external regulatory/internal policy and ... the background screening requirements of the Financial Industry Regulatory Authority ( FINRA ) and the National Futures Association (NFA). The major responsibilities… more
- PNC (New York, NY)
- …and/or managed to ensure customer satisfaction. + Establishes and ensures compliance with internal policies and procedures. Recommends and influences policy and ... in this position. **Preferred Skills** Accountability, Customer Solutions, Ensure Compliance , Personal Initiative, Process Improvements, Results-Oriented, Risk Mitigation Strategies,… more
- PNC (Madison, NY)
- …transformation * Present new digital customer experiences to legal, risk, and compliance stakeholders as well as executive leaders for feedback, respectful debate, ... As part of the first line of defense, supports risk management, compliance , and audit needs. + Supports business, financial, and customer experience results… more