- TD Bank (New York, NY)
- …Markets Supervisors to meet their accountabilities for the oversight of employee conduct and of market , credit, underwriting, and operational risks. ... contact to advise or coordinate with key stakeholders on day-to-day supervision, regulatory or business conduct matters requiring escalation. + Provide guidance… more
- Scotiabank (New York, NY)
- …business controls to meet obligations with respect to operational risk, regulatory compliance risk, AML/ATF risk and conduct risk, including but not limited ... our clients an important bridge to this key global market for trade and investment flows across the Americas...to responsibilities under the Operational Risk Management Framework, Regulatory Compliance Risk Management Framework, AML/ATF Global… more
- Scotiabank (New York, NY)
- …business controls to meet obligations with respect to operational risk, regulatory compliance risk, AML/ATF risk and conduct risk, including but not limited ... our clients an important bridge to this key global market for trade and investment flows across the Americas...to responsibilities under the Operational Risk Management Framework, Regulatory Compliance Risk Management Framework, AML/ATF Global… more
- LSI Solutions (Victor, NY)
- …Rest-of-World (ROW) regulatory approvals, while maintaining full Quality and Regulatory compliance with all standards that govern the design, development, ... and corporate policies and procedures regarding submissions and other requirements for market approval of medical devices. + Revise regulatory procedures with… more
- Citigroup (New York, NY)
- …role that requires superior problem solving and excellent oral/written communication skills ( Regulatory , Risk, Internal Audit or Compliance background a plus) + ... The objective of this role is to support the execution of regulatory interactions across Risk Management, to ensure the organization is responsive, agile… more
- BlackRock (New York, NY)
- …product, marketing and compliance groups and FINRA staff to help ensure regulatory compliance of marketing and sales collateral, digital content, and ... **About this role** **Associate, Global Product Solutions ETF Regulatory Marketing Review** **Location: New York or Boston**...market commentary. This position is part of Global Product… more
- Bank of America (New York, NY)
- …involved + Monitor advisor and client activity including financial transactions to ensure compliance with firm and regulatory requirements and minimize risk + ... regulations related to client advice and recommendations, sales practice activities, and conduct of market personnel + Manages day-to-day Financial Advisor (FA)… more
- Santander US (New York, NY)
- …business stakeholders. + Prepare detailed Model Development Documentation (MDD) to ensure regulatory compliance . **Risk Analytics & Model Development:** + ... plans to align with regulatory expectations. **Stakeholder Communication & Regulatory Compliance :** + Collaborate with key stakeholders, including trading… more
- Citigroup (New York, NY)
- …integrity of the risk monitoring process; Review and approve risk framework for Market Risk for risk-taking units Monitor compliance with risk limits/triggers. + ... The Equity Market Risk team is responsible for measuring, monitoring,...and safeguarding Citigroup, its clients, and assets, by driving compliance with applicable laws, rules and regulations, adhering to… more
- Marex (New York, NY)
- …in accordance with the law. Compliance Officers monitor transactions, conduct regular audits, train employees on regulatory requirements, and implement ... within Marex and ensuring that all employees understand their responsibilities. Furthermore, Compliance is a bridge between Marex and regulatory authorities. … more