- M&T Bank (New York, NY)
- …policies. + Promote an environment that supports belonging and reflects the M&T Bank brand. + Maintain M&T internal control standards, including timely ... implementation of internal and external audit points together with any issues raised by external...related duties as assigned. **Scope of Responsibilities:** As the manager for a book of client relationships, the Wealth… more
- TD Bank (New York, NY)
- …with a registered US broker dealer, swap dealer, Global Systematically Important Bank (GSIB), or associated regulator. + Knowledge of global security and derivative ... areas impacting products, behaviors and market participants. + Knowledge of testing or audit concepts and principles, as well as control analysis and evaluation. +… more
- TD Bank (New York, NY)
- …senior/executive management. + Key contact for business management, regulators and external/ internal auditors, dealing with a broad range of issues including ... with a registered US broker dealer, swap dealer, Global Systematically Important Bank (GSIB), or associated regulator. + Firm understanding of global security and… more
- TD Bank (New York, NY)
- …a functional area + Key contact for business management, regulators and external/ internal auditors, dealing with non-routine information + Focuses on short to mid- ... with a registered US broker dealer, swap dealer, Global Systematically Important Bank (GSIB), or associated regulator. + Firm understanding of global security and… more
- M&T Bank (Buffalo, NY)
- …management. + Promote an environment that supports belonging and reflects the M&T Bank brand. + Maintain M&T internal control standards, including timely ... team members. + Possess ability to direct/persuade/influence peers and manager " + Conduct independent research and complex analytical projects...implementation of internal and external audit points together with any issues raised by external… more
- TD Bank (New York, NY)
- …initiatives including global policies and governance. + Assist with regulatory and audit requests. + Provide backup to general AML compliance functions such as ... and/or regulators + Contact for business management, regulators and external/ internal auditors with assistance from Management, dealing with routine information… more
- CIBC (New York, NY)
- …function across all lines of defense, inclusive of Operational Risk Management, Internal Audit , Enterprise counterparts, and control assessment teams. + ... manager or the rest of the organization. + ** Internal Client Engagement** - Meet with internal ...CRSC, etc). + **You demonstrate experience** conducting or managing Internal and External audits, understanding audit methodologies… more
- Mizuho Corporate Bank (New York, NY)
- …Legal Compliance Dept. (ALCD) exceptions for new onboarding remediation + Adhere to internal audit requirements + Recommend and assist in requirements for ... Responsibilities: + Support direct team manager for all onboarding processes + Manage daily...strong working relationships and liaise with external dependents and internal groups such as Clients, Sales, Credit, Legal, Compliance,… more
- Mizuho Corporate Bank (New York, NY)
- …versus streamlined KYC Onboarding is required + Ensure client packages adhere to internal audit requirements through the judgement made from understanding of ... Responsibilities: Support direct team manager for all onboarding processes: + Compose KYC...to both AML and regulatory requirements + Liaise with internal groups such as Legal, Compliance, Sanctions, Regulatory, Tax… more
- Mizuho Corporate Bank (New York, NY)
- …confirmation, and allocation across derivative asset classes. + As an operations manager provide guidance and support to junior staff in preparing, monitoring, and ... for the Derivatives Confirmation team, liaising with clients and internal stakeholders across the firm including Front Office, Legal,... stakeholders across the firm including Front Office, Legal, Audit and Finance. + As part of the PMC… more