- TD Bank (White Plains, NY)
- …Platform to ensure accurate and compliant trade processing + Manages and oversees regulatory reporting requirements, including but not limited to CAT, CAIS, ... operational oversight of the trading desk, ensuring adherence to regulatory requirements, risk management practices, and timely execution of...TRACE, and other mandated reporting obligations. + Ensures adequate staffing levels and resource… more
- SMBC (New York, NY)
- …entities. The VP will partner closely with Market Risk, Enterprise Risk, Non - Financial Risk, Compliance, Operations, Finance, and Front Office leadership to ... SMBC Group is a top-tier global financial group. Headquartered in Tokyo and with a...Broker-Dealer entity. This role provides independent risk oversight, strengthens regulatory governance frameworks, supports new business strategy, and manages… more
- TD Bank (New York, NY)
- …as Compliance lead for managing and facilitating the US Compliance Risk Assessment, reporting to the US Head of Compliance Programs + Manage the Compliance Risk ... Assessment framework to ensure the applicable regulatory compliance risks and internal controls are identified and assessed to determine the risk profile for in… more
- University of Rochester (Rochester, NY)
- …including programs to address anti-corruption, research ethics, privacy laws, and financial aid compliance. Compliance Investigations and Reporting : + Oversee ... complex regulatory and compliance issues to both technical and non -technical audiences. Experience in presenting to boards or senior leadership. Required +… more
- Scotiabank (New York, NY)
- …+ Integration Mindset: Experience embedding model outputs into risk and regulatory reporting infrastructure, ensuring accuracy and scalability across systems. ... _Regulatory Compliance and Reporting_ + Collaborate with broader Analytics team to meet regulatory compliance and reporting requirements + Support the Model Risk… more
- Bloomberg (New York, NY)
- …across Bloomberg's products and services, including regulated entities, as well as non -regulated offerings. We work to address regulatory issues, ensure ... complex issues that come with being the world's leading financial news and information company. Our team is made...close partnership with business stakeholders to provide compliance and regulatory advice and guidance in relation to these products… more
- Raymond James Financial, Inc. (New York, NY)
- …and building a new suite of automated, scalable, insight-driven dashboards and workflows. Reporting to the Vice President of Financial Crimes Analytics, this ... SQL Server, and cloud-based databases such as Amazon Redshift and Athena. + Financial crimes programs and regulatory requirements related to AML and Fraud… more
- St. John Fisher University (Rochester, NY)
- …community. Job Responsibilities: The Controller serves as the chief accounting and financial reporting officer of the University, responsible for the integrity, ... Financial Operations & Reporting + Directs general accounting, financial reporting and analysis, grants management, payroll, accounts payable, purchasing,… more
- Outreach Development Corporation (Richmond Hill, NY)
- …the organization's financial well-being. Compliance + Ensure compliance with financial reporting requirements, regulatory standards, tax reporting ... Outreach is a non -profit organization that helps people address issues stemming...and external factors that may affect revenue and expenses. Financial Analysis and Reporting + Provide regular… more
- MUFG (New York, NY)
- …(b) they do not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association ... heard and your actions to count?** Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), one of the world's leading financial groups. Across… more