- Broadridge Financial Solutions (New York, NY)
- …to manage data privacy, user consent, and communication preferences in compliance with regulatory requirements. We are made up of high performing teams that meet in ... Broadridge officeandgiven the flexibility to work from home. Key Responsibilities: + Lead the execution of product vision, strategy, and roadmap for assigned fintech… more
- TD Bank (New York, NY)
- …role. **Job Description:** TD Securities Compliance team is seeking a Director-level candidate to lead the Surveillance Data Quality Team. This is a global role, ... timeliness of data used to detect market abuse, financial misconduct, and regulatory violations. The ideal candidate will have deep expertise in financial markets,… more
- TD Bank (New York, NY)
- …applicable to the discipline * Adhere to internal policies/procedures and applicable regulatory guidelines * Keep abreast of emerging issues, trends, and evolving ... regulatory requirements and assess potential impacts * Maintain a...escalation of issues * Network with other colleagues in Global Surveillance and the wider Compliance teams and showcase… more
- American Express (New York, NY)
- …of American Express. **How will you make an impact in this role?** ** Global Compliance and Ethics (GCE), is responsible for establishing and maintaining a robust ... tools, and procedures are effectively implemented and aligned to regulatory expectations and internal risk governance standards. **Key Responsibilities:** +… more
- Bank of America (New York, NY)
- …assessments and issue management + Serve as subject matter expert for and/or lead risk-based and regulatory examinations + Perform transactional testing of ... management, the Board of Directors or committee thereof, external auditors and regulatory agencies. The Portfolio Specialist works together with the Credit Review… more
- SMBC (New York, NY)
- SMBC Group is a top-tier global financial group. Headquartered in Tokyo and with a 400-year history, SMBC Group offers a diverse range of financial services, ... a diverse client base to local markets and the organization's extensive global network. The Group's operating companies in the Americas include Sumitomo Mitsui… more
- Capco, a Wipro Company (New York, NY)
- …Finance, Risk, and Compliance ("FRC") group at Capco you will play a lead role delivering projects, ranging from short-term strategic assessments to large scale ... initiatives, for leading clients across financial services. Capco FRC is a global team that prides itself on our industry-leading expertise from strategy through… more
- JPMorgan Chase (Brooklyn, NY)
- …across the firm to drive business results while adhering to regulatory constraints and internal controls. **Job responsibilities** Focus on capital allocation ... across the firm, product segment, regional, and client levels-considering the interaction of regulatory and economic risk constraints at various levels. + Lead … more
- SMBC (New York, NY)
- SMBC Group is a top-tier global financial group. Headquartered in Tokyo and with a 400-year history, SMBC Group offers a diverse range of financial services, ... a diverse client base to local markets and the organization's extensive global network. The Group's operating companies in the Americas include Sumitomo Mitsui… more
- American Express (New York, NY)
- …risk and analytics on #TeamAmex. **Business Unit/Role Specific Info** The Global Risk & Compliance Organization ("GRC") independently oversee the company's ... in a safe, sound and fully compliant manner within all applicable regulatory expectations. We create and maintain the overall risk management framework while… more