- Mizuho Corporate Bank (New York, NY)
- …testing including reviewing the approach, testing and reports for issues (eg regulatory , third-party and internal audit) related to Regulatory Reporting areas ... are coordinated. + Work with other leadership in IADA Regulatory Reporting management to identify control issues and emerging...authorities, external auditors and other service providers in the conduct of their activities at Mizuho. + Manage or… more
- Zurich NA (Albany, NY)
- …determine the effectiveness of controls, compliance with management directives, compliance with regulatory requirements and efficiency of operations + ... RCIS Crop Regulatory Operations & Governance Manager 123791 RCIS (Rural...location, role, skill set, and level of experience. In compliance with local laws, Zurich commits to providing a… more
- TD Bank (New York, NY)
- …guidelines of conduct + Leads, coaches, and develops the entire Market team to achieve business results and professional/personal development objectives + Leads ... building the most talented Wealth team available in the Market + Develops and executes a targeted marketing plan...Health and Life Insurance Licensure + Knowledge of Bank regulatory risk and compliance policies, processes, and… more
- Santander US (New York, NY)
- …business stakeholders. + Prepare detailed Model Development Documentation (MDD) to ensure regulatory compliance . Risk Analytics & Model Development: + Develop, ... plans to align with regulatory expectations. Stakeholder Communication & Regulatory Compliance : + Collaborate with key stakeholders, including trading desks,… more
- Bank of America (Buffalo, 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
- Axis (New York, NY)
- …* Implement a real-time monitoring framework to track broker performance, complaints, market conduct violations, and regulatory infractions. * Develop ... external brokers, covering regulatory updates, ethics, AML, data privacy, and market conduct best practices. * Promote a strong compliance culture by… more
- CIBC (New York, NY)
- …Business Units (SBUs) in the measurement, monitoring and control of market , trading, operational and trading credit risks, maintaining consistent corporate ... will, as his/her prime role, play an important part in ensuring that market risk for prime brokerage client portfolios and/or CIBC's trading desks is completely… 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
- Marex (New York, NY)
- …in accordance with the law. Compliance Officers monitor transactions, conduct regular audits, train employees on regulatory requirements, and implement ... agency bonds, municipal bonds, and US Treasuries as well as providing compliance advisory services regarding various other regulatory reporting requirements,… more
- JPMorgan Chase (New York, NY)
- …surveillance, and market abuse regulations. + Proven ability to manage regulatory interactions, audits, and compliance testing programs. + Strong leadership ... a Compliance Risk Management Director within the Compliance , Conduct and Operational Risk (CCOR) organization,...Compliance teams to ensure a coordinated approach to regulatory compliance . + Identify practical uses of… more