- Lincoln Financial (Albany, NY)
- …#:** 74829 **The Role at a Glance** We are excited to be hiring a ** Manager , Compliance testing team** role in our Retirement Plan Services business line in our Fort ... + Free financial counseling, health coaching and employee assistance program + Tuition assistance program + Work arrangements… more
- MUFG (New York, NY)
- …status updates + Assist in identifying data risks in RCSAs across the broker dealer entity (adhoc risk / controls reviews, group self-assessments, and controls ... to count?** Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), one of the world's leading financial groups....to determine MSIIs / audit points. Assist the broker dealer entity in correctly Identifying the overall issue owner,… more
- TD Bank (New York, NY)
- …provide you more specific details for this role. **Job Description:** TD Bank Group Headquartered in Toronto, Canada, with more than 85,000 employees in offices ... and its subsidiaries are collectively known as TD Bank Group (TD). TD offers a full range of financial...delivering: . Fixed Income cash securities pricing . FI Dealer -to- Dealer order execution . FI Dealer… more
- Mizuho Corporate Bank (New York, NY)
- …continuous monitoring, managing the audit process from initiation to completion and assisting the Group Manager with the administrative control of the Group . ... value and improve MUSO including the derivatives and broker dealer businesses. Based in the New York Metro area,...staff and provide feedback to staff members and the Group Manager .Assist the Group … more
- TD Bank (New York, NY)
- …of the TDS US Compliance Regulatory Initiatives Team and US Wholesale Compliance Group . The Compliance Regulatory Initiatives Team is a newly created team within US ... Wholesale Compliance focused on remediation and program development and improvement within TDS. **Key Responsibilities:** Responsible for designing and implementing… more
- TD Bank (New York, NY)
- …key member of the TDS US Compliance Initiatives Team and US Wholesale Compliance Group . The Compliance Regulatory Initiatives Team is a newly created team within US ... Wholesale Compliance focused on remediation and program development and improvement within TDS. This Director role...7-10 years of experience with a registered US broker dealer , swap dealer , Global Systematically Important Bank… more
- TD Bank (New York, NY)
- …impact - both in day-to-day operations and in the design of a future-focused compliance program . This not just about implementing a new program - it's about ... while also helping design and implement a forward-thinking compliance program for the future. Beyond technical expertise, we're looking...requiring medium to longer term focus + Represents the group as the lead or subject matter expert on… more
- Bank of America (New York, NY)
- …As the Chief Risk Officer (CRO) function covering the Chief Financial Officer (CFO) Group , we also bring together a holistic point of view across all seven risk ... Risk Management is a department within Enterprise Financial Risk (EFR). This group is responsible for providing an independent assessment of Bank of America's… more
- TD Bank (New York, NY)
- …in a highly focused operation, while being part of a major global investment dealer . Confidence in our US operations systems stems from the recognition of our ... build on and enhance your detailed knowledge of trends in your industry group . + Construct detailed models that establish suitable capital structures and financial… more
- TD Bank (New York, NY)
- …TDS Treasury is part of Global Markets in TD Securities, and manages the dealer 's liquidity, funding and non-trading market risk. Within the group , US TDS ... NTMR team and US Treasury Asset & Liability Management group . + Build enhancements of TDS banking books and...have regular career, development, and performance conversations with your manager , as well as access to an online learning… more