- TD Bank (New York, NY)
- …is effective. This position also works with management / control function partners (eg Risk , Legal, Compliance, AML and Audit ) to assess risks, develop and ... data, market share metrics (Coalition, McLagan), broker votes, and internal trading/sales data. + **Deliver front-end analytics** : Create...of a diverse group in an area of moderate risk , complexity or scope + Ensures an integrated approach… more
- TD Bank (New York, NY)
- …implementing and coordinating the Compliance Oversight program over first line Risk Owner (RO) activities contributing to the overall Compliance coverage plan. ... Compliance Oversight program, including evaluating program design elements, analyzing Risk Owner testing and monitoring routines contributing to Compliance coverage… more
- SMBC (New York, NY)
- …related or new regulatory requirements. + Supports interactions with regulators and Internal Audit during compliance-related examinations / audits related to ... Group offers a range of commercial and investment banking services to its corporate , institutional, and municipal clients. It connects a diverse client base to local… more
- Robert Half Legal (New York, NY)
- …status and compliance events, escalating risks or noncompliance as needed. * Collaborate with Internal Audit to develop risk assessments for areas of ... identified risks. * Develop and maintain a system for corporate filings ensuring all filings are submitted in a...ERISA, HIPAA, state insurance laws), and applying those to internal policy development for highly regulated or complex environments.… more
- Mastercard (Harrison, NY)
- …with the Total Rewards design team, external vendors, as well as internal Global Business Service Center, payroll, and HR technology stakeholders, to optimize ... processes, manage risk , and deliver an exceptional employee experience. Role: *...successfully complying with all Equity SOX controls and global audit /compliance requests, including ensuring that all requests, approvals, grants,… more
- TD Bank (New York, NY)
- …policy and procedures materials are kept current + Assist in responding to internal and external audit requests + Prepare summaries, presentations, briefing ... regulatory requirements and assisting business units to manage their regulatory risk . **Key Responsibilities:** + Assist in drafting and maintaining comprehensive… more
- JPMorgan Chase (New York, NY)
- …Commercial & Investment Banking (Macro Products, Credit, Equities, Securitized Products, IB Risk ), CIO, Treasury & Corporate (CTC), Asset Management and Consumer ... Clients of the group include senior management, business heads, regulators, and both internal and external audit . As a Valuation Control - Senior Associate… more
- TD Bank (New York, NY)
- …**-** **CIB Credit (New York)** TD Securities is a market leader in Corporate & Investment Banking (CIB), providing a comprehensive suite of financial services and ... transaction execution. + Conductappropriate market, industry, and client research and risk analysis. + Assist Loan Syndications in preparing materials and providing… more
- Raymond James Financial, Inc. (New York, NY)
- …be 3 per week averaging 12 days per month in one of the following corporate home office locations: Memphis, TN or Southfield, MI. The Regulatory Operations Analyst ( ... offering insights and recommending process improvements. Regular interaction with internal stakeholders, including compliance teams and internal auditors,… more
- JPMorgan Chase (New York, NY)
- …and liability management + Coordinate with investment banking coverage, interest rate/FX risk management to provide clients with holistic corporate finance and ... clients across industries and geographies. We address both broad corporate finance topics as well as detailed execution advice...deal flow and thematic events to provide information to internal teams and external clients + Prepare client pitches… more