- Mizuho Corporate Bank (New York, NY)
- …law degree highly preferred*Minimum of 10 years of experience in regulatory compliance , legal and regulatory framework and rulemaking process applicable to US ... functions including banking and underwriting businesses, securities markets, legal, compliance , risk management, operations, treasury, among others.*Ability to analyze,… more
- MUFG (New York, NY)
- …pertinent to making a decision with little support from management. **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
- SMBC (New York, NY)
- …credit and financial performance, periodic credit monitoring and re-underwriting, covenant and compliance reporting, and ad hoc analysis as necessary. + Work with ... of all elements of credit risk and thorough knowledge of legal/ compliance considerations for non-bank loan originators and servicers, including fintech companies… more
- SMBC (New York, NY)
- …Risk stress test processes and scenario generation capabilities * Ensures compliance with regulatory reporting requirements and best practices, including BCBS 239 ... management and escalates issues timely, as necessary * Updates and ensures compliance with Market Risk reporting documents * Manages ad-hoc projects as necessary… more
- TIAA (New York, NY)
- …+ Evaluates the performance of investment portfolios and ensures compliance with standards provided by regulatory organizations including conformance with ... Preferred **Work Experience** + 5+ Years Required; 7+ Years Preferred ** FINRA Registrations** + SRC Indicator: Series 65 **Physical Requirements** + Physical… more
- Citigroup (New York, NY)
- …firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying ... both internal and external + Ability to manage multiple concurrent deadlines + FINRA SIE, Series 7, Series 66 required (or obtained within 120 days) **Education:**… more
- PNC (Madison, NY)
- …meet their strategic goals. Develops product-specific marketing initiatives. Supports risk management, compliance and audit needs as part of the first line of ... Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority ( FINRA ), which prohibit the hiring of individuals with certain criminal history.… more
- SMBC (New York, NY)
- …reviewed appraisals and evaluations for accuracy, completeness, logic, and regulatory compliance . + Resolves appraisal and/or valuation issues for SMBC departments ... 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
- Citigroup (New York, NY)
- …firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying ... both internal and external + Ability to manage multiple concurrent deadlines + FINRA SIE, Series 7, Series 66 required (or obtained within 120 days) **Education:**… more
- SMBC (New York, NY)
- …into approachable language and educate and influence others. + **Balance compliance with innovation. ** You're experienced in regulated industries and understand ... 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