- 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
- Amazon (New York, NY)
- …managing our motor carrier authority, understanding and evaluating risk, and enhancing our regulatory compliance programs. Basic Qualifications - 6+ years of ... Oversight and Governance team is seeking a high-performing Senior Risk Manager to conduct DOT compliance risk assessments and develop compliance programs… more
- Marex (New York, NY)
- …in accordance with the law. Compliance Officers monitor transactions, conduct regular audits, train employees on regulatory requirements, and implement ... opportunity to gain exposure to a wider range of compliance activities at a market -leading firm. Marex...and ensuring that all employees understand their responsibilities. Furthermore, Compliance is a bridge between Marex and regulatory… more
- SMBC (New York, NY)
- …detail and discipline to follow up on issues until resolved. + 10+ years of regulatory compliance experience at a broker dealer. BA/BS required. Series 7, 24, 79 ... of benefits to its employees. **Role Description** The Advisory Compliance team serves as a regulatory advisory...business unit management and staff so that they may conduct their business in conformance with regulatory … more
- M&T Bank (Mamaroneck, NY)
- …recommendations to ensure these needs are met. Use sales tools and modules to conduct the analysis and offer the best advice and products and customer understanding ... in a moderately complex level of suitability within defined standard procedures, regulatory requirements and in support of the best interests of each customer.… more
- Marex (New York, NY)
- … Advisory services for US Swap Dealer Trade Surveillance process. + Provide Compliance Advisory services for US Swap Dealer Regulatory Reporting process. + ... is a global financial services platform, providing essential liquidity, market access and infrastructure services to clients in the...Ensuring compliance with the company's regulatory requirements under the SEC, FINRA, NFA, CFTC and… 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
- Citigroup (New York, NY)
- …analysis to monitor risk exposures; Utilizing VBA, Bloomberg, or Reuters Refinitiv to conduct quantitative analysis and market analysis. Must also have 2 years ... Citibank, NA seeks a Market Risk Senior Officer I for its New...and approve limits risk framework for these desks. Monitor compliance with risk limits/triggers. Ensure limits are properly set… more
- Scotiabank (New York, NY)
- …sales and trading management and US Compliance personnel on relevant compliance issues, the regulatory environment, and Compliance Department initiatives ... of US compliance procedures. + Coordinate with Internal Control on compliance risk assessments, independently conduct the effective challenge of … more
- Citigroup (New York, NY)
- …audit reports in a timely manner, in accordance with Internal Audit and Regulatory standards + Review and approve the Business Monitoring Quarterly summary and serve ... on overall control environment and audit approach + Manage audit activities on market risk topics for product line and/or legal entity + Leverage a comprehensive… more