- BMO Financial Group (New York, NY)
- …and Commodities ("FICC") LOBs and other internal business partners to ensure regulatory , corporate and fiduciary obligations are met. You will have a specific ... BMO's Fixed Income activities, and maintain current knowledge of regulatory requirements and developments, monitoring risk/trade surveillance, and identifying and… more
- University of Rochester (Rochester, NY)
- …organizational and governmental standards. Maintains compliance with all country-mandated regulatory requirements. Documents legal regulations that might affect the ... policies and procedures. Maintains the organization's ongoing relationships with regulatory commissions/authorities. Coordinates and conducts the assessment of internal… more
- BMO Financial Group (New York, NY)
- …and performs risk assessment, monitoring, testing and surveillance activities to ensure program remains current and aligned with BMO Compliance Program . + ... on compliance matters. + Advises business/group on implications of new regulatory developments or internal products, and assists to implement new/revised policies… more
- TD Bank (New York, NY)
- …Description:** The Head of Wealth Remediation is responsible for expanding and managing regulatory oversight program for the first line of defense in Wealth ... and AMCB Consumer Bank teams to ensure that all regulatory , compliance, audit, and self-ID findings are remediated and...have regular career, development, and performance conversations with your manager , as well as access to an online learning… more
- TD Bank (New York, NY)
- …and services, and are operating within risk appetite in compliance with regulatory requirements, Bank policies and risk appetite. Members of TDS Governance & ... adhering to internal (risk management, oversight function and audit) and regulatory requirements, requests, and expectations. **JOB DESCRIPTION** Reporting to the… more
- TD Bank (New York, NY)
- …Control Room Head and the GCR Portfolio Management Head with implementing a program focused on the initiatives below: + **Global Control Room Portfolio Management** ... partners) to develop clear deliverables, milestone, and project plans for regulatory initiatives, new Global Control Room deployments, and Global Control Room… more
- TD Bank (New York, NY)
- …planning activities within mandate + Designs US Fair and Responsible Banking program elements to meet relevant regulatory requirements, standards, and ... Responsible Banking Advising oversees the Bank's Fair and Responsible Banking program related deliverables, including developing and maintaining critical Fair and… more
- American Express (New York, NY)
- …(eg, Certified Public Accountant (CPA), Certified Internal Auditor (CIA), Certified Regulatory Compliance Manager (CRCM)) + Experience with data analytic ... group responsible for managing audit operations, quality, and standards; regulatory relations; reporting; training and professional development; and key internal… more
- TD Bank (New York, NY)
- …a team(s) of specialists/professionals providing advice, guidance and expertise on regulatory requirements and assisting business units to manage their regulatory ... will be tailored to resolving issues with consideration to regulatory requirements, regulatory and firm risk and...have regular career, development, and performance conversations with your manager , as well as access to an online learning… more
- TD Bank (New York, NY)
- …Banking Space supporting a wholesale client base. Including knowledge of the regulatory framework supporting businesses such as Global Trade Finance and Payments & ... will be tailored to resolving issues with consideration to regulatory requirements, regulatory and firm risk and...have regular career, development, and performance conversations with your manager , as well as access to an online learning… more