- SMBC (New York, NY)
- …trading floor and the work environment is fast paced involving direct contact with front office staff, second line credit officers and our clients. The ... an SEC-registered securities broker-dealer and member of the Financial Industry Regulatory Authority (FINRA) and the Municipal Securities Rulemaking Board (MSRB).… more
- Scotiabank (New York, NY)
- …controls. + Work with auditors within the audit department to perform end-to-end business line reviews. + Understand how the Bank's risk appetite and risk ... Banking & Markets provides a full range of investment banking, credit and risk management products and services relevant to the financing and strategic development… more
- US Tech Solutions (New York, NY)
- …+ Manage the implementation and maintenance of the overall Global Banking Americas', front office Compliance Risk and Control Assessment Program in accordance ... organizational changes, and others, that may impact the operational risk profile of Global Banking Americas and lead to...policy/procedure updates, and initiatives sponsored by the bank's second line of defense and first line of… more
- Scotiabank (New York, NY)
- …policies and procedures development, the provision of compliance training, compliance risk assessments, responding to regulatory inquiries, etc. + Strong ... Banking & Markets provides a full range of investment banking, credit and risk management products and services relevant to the financing and strategic development… more
- TD Bank (New York, NY)
- … regulatory requirements and assisting business units to manage their regulatory risk . **Key Accountabilities** Shareholder + Consistently exercise discretion ... Location** : New York, New York, United States of America **Hours:** 40 ** Line of Business:** Compliance **Pay Detail:** $140,000 - $180,000 USD TD is committed… more
- Memorial Sloan-Kettering Cancer Center (New York, NY)
- …support of high reliability journey and to ensure we proactively understand our areas of risk as defined by front - line staff. Support for RCAs that intersect ... metric collection, validation, analysis and corresponding QI project work: Work with front line leaders to conduct performance improvement activity based on… more
- HSBC (New York, NY)
- …and internal controls are in place, including processes for management of operational risk , in accordance with Company and regulatory standards. + Identify audit ... any of the 3 lines of defense functions (eg Front Office role related to capital markets, corporate lending,...lending, global trade finance and global payment solutions, Credit Risk , Regulatory Compliance, Internal Audit etc) +… more
- MUFG (New York, NY)
- …minimizing any economic and reputational risks for MUFG + Conduct business in line with regulatory requirements GLOBAL COLLABORATION + Develop strong internal ... and existing clients to increase MUFG product penetration while prudently balancing risk with opportunity. He will also provide corporate finance advice related to… more
- TD Bank (New York, NY)
- …/compliance requirements and assists in implementing compliance initiatives to help manage regulatory risk . **Depth & Scope:** + Works independently as the ... Location** : New York, New York, United States of America **Hours:** 40 ** Line of Business:** Compliance **Pay Detail:** $100,000 - $135,000 USD TD is committed… more
- Bank of America (New York, NY)
- …Compliance, Risk , and Audit, to ensure accounts meet legal, regulatory , and operational requirements. - Sales & Service Enablement: Create product documentation, ... on wholesale banking and leads the GPS response to regulatory changes/inquiries. The Liquidity Product Management team is responsible...sales materials, and training to ensure front - line teams understand use cases, restrictions, and… more