- Guardian Life (New York, NY)
- …security posture through innovation, automation, and operational excellence, while ensuring regulatory compliance and fostering a culture of secure-by-design ... and communicate cybersecurity and third-party risks to business stakeholders. + Ensure compliance with regulatory frameworks and internal standards. + Adapt and… more
- Wells Fargo (New York, NY)
- …of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance ), which includes effectively following and adhering to ... of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance ), which includes effectively following and adhering to… more
- TD Bank (New York, NY)
- …Registrations; Health and Life Insurance Licensure + Knowledge of Bank regulatory risk and compliance policies, processes, and requirements + Knowledge of ... and activities + Manages controllable expenses in a responsible manner + Drives compliance with all regulatory standards and requirements, TD policies and… more
- Deloitte (New York, NY)
- …including retail, wholesale and international banks, broker dealers, mutual funds and insurance companies + Ability to develop AML/OFAC compliance policies and ... Anti Money Laundering (AML) Manager Our Deloitte Regulatory , Risk & Forensic team helps client leaders...reviewing, enhancing, implementing, and monitoring numerous AML and sanctions compliance programs for clients around the world, who are… more
- Wells Fargo (Syracuse, NY)
- …of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance ), which includes effectively following and adhering to ... as part of the evaluation. Successful candidates must also meet ongoing regulatory requirements including additional screening, if necessary + US only: Obtaining… more
- Wells Fargo (New York, NY)
- …of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance ), which includes effectively following and adhering to ... marketing campaigns, establishing and maintaining files to meet the firm's regulatory requirements, and establishing and maintaining filing and record keeping… more
- CanACRE (Rochester, NY)
- …apart. Our goals are to provide technical leadership for greater regulatory understanding and certainty and to build collaborative relationships with stakeholders, ... activities with respect to the general permit requirements of the applicable regulatory agency, the client, and other cooperating/permitting agencies. The role will… more
- Wells Fargo (New York, NY)
- …of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance ), which includes effectively following and adhering to ... by adhering to policies, procedures and controls and ensuring compliance with applicable laws, rules, and regulations + Collect...FINRA equivalents) to qualify for immediate registration + State Insurance license(s) + 3+ years of experience in a… more
- Motion Recruitment Partners (New York, NY)
- …trading platforms (ATS, electronic exchanges), trading desk (NASDAQ) and SEC regulatory requirements. * Background in Legal/ compliance , audit, or data/metrics ... backgrounds * Knowledge of the US regulatory environment pertaining to alternative trading systems and the...hands-on experience with trading systems to support the operations, compliance , and governance of the company's Alternative Trading System… more
- Wells Fargo (New York, NY)
- …of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance ), which includes effectively following and adhering to ... of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance ), which includes effectively following and adhering to… more