- University of Rochester (Rochester, NY)
- …and the skills to help train inexperienced personnel. Schedule 8 AM-4:30 PM: OCC WKND/HOL The University of Rochester is committed to fostering, cultivating, and ... preserving an inclusive and welcoming culture to advance the University's Mission to Learn, Discover, Heal, Create - and Make the World Ever Better. In support of our values and those of our society, the University is committed to not discriminating on the… more
- City National Bank (New York, NY)
- …regulations and managing regulatory requirements including but not limited to: FFIEC, OCC , FINRA, Federal Reserve related to Disaster Recovery requirements. WHAT DO ... YOU NEED TO SUCCEED? *Required Qualifications** * Minimum 7 years practical Business Continuity, Disaster Recovery, and/Crisis Management experience * Minimum 3 years of financial services experience * Minimum 3 years of project management experience… more
- TD Bank (West Babylon, NY)
- …state, SRO regulations and Firm policies related to all business activities (eg OCC , SEC, State Insurance Commissioners, NY Department of Financial Services, etc.) + ... Ensures all Continuing Education requirements are attained + Responsible for understanding and adhering to TD Bank & TD Wealth Policies and Procedures + Responsible for implementing TD's Customer Identification Program (CIP) by collecting and verifying… more
- City National Bank (New York, NY)
- …and intermediaries. * Review documents and responses to compliance department, audit and OCC inquiries after research is performed by TA. * Gather information from ... clients for projects. * Prepare draft correspondence letters and memos. * Maintain new account logs. * Follow appropriate Regulation 9 process. * Maintain all appropriate training and continuing education requirements for both internal programs and external… more
- City National Bank (New York, NY)
- …Minimum 5 years within or related to financial services *Additional Qualifications* * Knowledge of OCC Reg 9 * 5 years in a role requiring complex problem solving * ... Investment product knowledge preferred * Strong interpersonal and influencing skills - and ability to interact with colleagues at all levels in a peer-like way, and achieve goals without direct control over resources * Strong emerging end-to-end generalist… more
- MUFG (New York, NY)
- …certification preferred + Experience working with the financial industry regulators, including OCC , FRB, SEC and FINRA and responding to regulatory requests. + ... Proficient understanding of the internal audit process including risk assessment, audit methodology, and execution. + Proven knowledge in technology as required for assigned areas (MS Office, audit data analytics, etc.) + Highly motivated with the ability to… more