- 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
- Scotiabank (New York, NY)
- …of materials to these regulators and speak during examinations. Interact with the Regulatory Relations team. Work within the US Market Risk team, and ... Senior Manager, US Market Risk **Requisition ID:** 231997 **Salary Range:** 128,211.00...business controls to meet obligations with respect to operational, compliance , AML/ATF/sanctions and conduct risk. REQUIREMENTS: Master's… more
- BMO Financial Group (New York, NY)
- …and making recommendations that significantly impact the Bank's ability to monitor regulatory compliance programs, minimize operational risk and align with ... incorporating compliance requirements into these initiatives. + Ensure effective regulatory compliance controls that enable business objectives. + Identify… more
- CIBC (New York, NY)
- …US regulatory requirement group topics to determine risk ratings under CIBC's Regulatory Compliance Management framework; + Assist in the monitoring of daily ... developed and implemented done in the most effective and efficient manner to achieve regulatory compliance ; + the authority to represent Compliance on… more
- Bloomberg (New York, NY)
- …requirements as well as IOSCO principles; and be able to implement regulatory compliance policies, governance and controls. Strong communication and ... the product and business + Draft, update and review compliance policies in line with regulatory requirements...the organization + Develop and streamline new and existing compliance processes + Plan, prepare and conduct … more
- TD Bank (New York, NY)
- …monitoring of compliance with firm policies for covered business areas + Conduct compliance risk assessments to ensure effective business control framework + ... drafting, updating, and implement relevant policies and procedures. + Provide regulatory / compliance training. + Participate in internal investigations, respond… more
- University of Rochester (Rochester, NY)
- …to ensure compliance with federal, state, and institutional guidelines. + ** Regulatory Compliance ** : Ensure strict adherence to the Federal Acquisition ... in compliance with organizational and governmental standards. Maintains compliance with all country-mandated regulatory requirements. Documents legal… more
- Aflac (New York, NY)
- …developments. + Prepare management reporting. + Ensure that identified errors, improper conduct , compliance exceptions to regulatory or policy requirements ... teams support GI's overall goals and objectives by providing market insight and in-depth knowledge of assigned asset classes....daily review and monitoring of pre-trade and batch portfolio compliance alerts with respect to regulatory and… more
- Zurich NA (New York, NY)
- …related field of study. + 5+ years of experience in financial services or regulatory compliance , with proven expertise in DPRM and preferably with knowledge of ... Zurich's Compliance Risk Universe (CRU), including Third Party Risk, Customer Facing Conduct , Market Integrity, and Financial Crime. Reporting to the Head of… more
- American Express (New York, NY)
- …to applicable regulatory requirements (eg, consumer protection, fair lending, privacy, market conduct , etc.) + Proactively identify and assess compliance ... compliance risk assessments and control self-assessments + Support regulatory exam readiness, issue remediation, and corrective action planning + Coordinate… more