- TD Bank (New York, NY)
- …across specific trading products and jurisdictions, while aligning with internal risk , legal , regulatory and governance frameworks and ensuring accelerated ... through capital markets deal origination including execution of regulatory and legal trading agreement requirements globally. This team maximizes revenue generation,… more
- TD Bank (New York, NY)
- …lifecycle. The Fixed Income Operations team plays a key role in mitigating risk , improving client service, and delivering seamless trade processing across a diverse ... + Implement and maintain strong controls to mitigate operational and financial risk . + **Stakeholder Management** + Partner with Front Office, Sales, Technology,… more
- SMBC (New York, NY)
- …and formal requests received via regulatory portals or through the Firm's legal department. Providing timely, complete, accurate, and helpful responses to any ... (SPG), Office of the CEO (CEOAD), Tokyo Home Office, Finance & Operations, Risk , HR, Internal Audit, and Technology. The Regulatory Governance team collaborates with… more
- TD Bank (New York, NY)
- …metrics and business conduct issues + Liaison with other Divisions, such as Compliance, Legal , Risk and Internal Audit as well as support regulatory interactions ... supervisory requirements + Strong ability to work with Compliance, Legal or Risk partners to interpret regulation...have regular career, development, and performance conversations with your manager , as well as access to an online learning… more
- Guardian Life (Albany, NY)
- …a best-in-class Law Department. We drive a high-performance culture across our Legal , Compliance, and Government Affairs functions, aligned to "what" we deliver (ie, ... you want to be part of a collaborative Compliance Legal Team? As a Senior Compliance Analyst, Park Avenue...Investment Advisory, you will conduct branch office inspections using risk -based testing methodologies to ensure compliance with FINRA Rule… more
- Conifer Realty LLC (Rochester, NY)
- …and assist with the execution process in coordination with project management and legal teams. Claims, Litigation, and Risk Management + Track, monitor, and ... Senior Corporate Paralegal Rochester, NY (http://maps.google.com/maps?q=1000+University+Ave+Rochester+NY+USA+14607-1239) * Legal Job Type Full-time Description General Description The… more
- BlackRock (New York, NY)
- …four to seven years' experience as a lawyer in a major law firm or the legal department of an asset manager , investment bank or other leading organization. + ... management firms and a premier provider of global investment management, risk management and advisory services to institutional, intermediary and individual… more
- Synchrony (New York, NY)
- …and Allegro Installment products. This role includes credit and operational risk evaluation; delinquency, loss and fraud mitigation; enforcement of credit policies ... revolving and installment products, utilizing advanced underwriting techniques to balance risk -reward tradeoff and drive profitable growth + Drive the enhancement of… more
- TD Bank (New York, NY)
- …**Position:** Senior FCRM Compliance Officer **Reports to:** Director, Financial Crime Risk Oversight, TD Securities, US **Position Summary** The US FCRM TDS ... Securities in developing, implementing, and maintaining a robust financial crime risk management ("FCRM") program that meets regulatory requirements and mitigates… more
- JPMorgan Chase (New York, NY)
- …to establish a large network throughout all functions supporting the business: Risk , Legal , Compliance, Business Control, Technology, Chief Data Office, Finance, ... responsibilities** + Liaise with Front Office, Sustainability team, Strategy team, Risk , Finance/Controllers, Compliance, Legal and other internal functions +… more