- Citigroup (New York, NY)
- …Integrity and structure:** Review and challenge covenants, investors protections, disclosure quality and alignment with credit view + **Risk Evaluation:** Work with ... to identify any vulnerabilities related to the issuance process. + ** Compliance Risk:** Ensure that all activities comply with regulatory requirements, including… more
- TD Bank (New York, NY)
- …is seeking a VP Compliance Manager for the brand new Trade Surveillance Quality Assurance team to develop and build out a global Surveillance QA program. The ... Team. The SIU in turn reports to the Global Head of Surveillance. This incumbent will ensure that surveillance...a plus. + 7+ years of experience in Surveillance Quality Assurance or Internal Audit (covering compliance … more
- Mizuho Corporate Bank (New York, NY)
- …Further, the team plays a key role (in collaboration with legal, compliance , IT, etc) in the analysis, requirements specifications, and implementation of new ... Broker-Dealer regulatory requirements in collaborations with other stakeholders (eg, legal, compliance , IT, etc.) to support the creation and maintenance of these… more
- Mizuho Corporate Bank (New York, NY)
- …with key stakeholders to develop controls and validate the integrity, accuracy, and quality of FCC data, ensuring accurate and complete data flows through the ... communicated to all relevant parties. + Liaise with Model Risk Management and Head Office regarding updates to models, ensuring that all changes are accurately… more
- TD Bank (New York, NY)
- …Timely report on findings and/or recommendations for enhancements, to the Global Head of Surveillance and Compliance senior management. + Surveillance Portfolio ... New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $150,000 - $185,000 USD TD is committed to providing fair… more
- TD Bank (New York, NY)
- …New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $150,000 - $185,000 USD TD is committed to providing fair ... details for this role. **Job Description:** **Department Overview:** The Global Compliance Department is responsible for overseeing regulatory compliance across… more
- TD Bank (New York, NY)
- …and third-party provider tool. + Support testing engagements from Internal Audit, Compliance Quality Assurance, and others. _The above details are specific ... Bank's risk philosophy and strategic direction. **Job Description** Reporting to the Head of Compliance , Regulatory Inventory and Regulatory Change, the Senior… more
- Zurich NA (New York, NY)
- …Party Risk, Customer Facing Conduct, Market Integrity, and Financial Crime. Reporting to the Head of Compliance Centre of Excellence, this role offers a unique ... Compliance Expert (Data Privacy & Records Management) 125661... strategies and decision-making. + Support the preparation of high- quality reports for business leadership, governance committees, and regulatory… more
- TD Bank (New York, NY)
- …: Work with the GCR Head and leads to develop appropriate training. + ** Compliance Culture:** Work with the Compliance leadership team in support of a strong ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $150,000 - $185,000 USD TD is...The successful hire will assist the Global Control Room Head and the GCR Portfolio Management Head … more
- Huntington National Bank (New York, NY)
- Description Summary: The Managing Director - Warehouse Lending for CSG - Corporate Mortgage Finance Group, will be an integral component to the building out of the ... Corporate Mortgage Finance Group vertical for Huntington Bank and...prospective client relationship growth. This position reports to the Head of CMFG, or another senior leader determined by… more
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