- 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 ... and guidance to Fixed Income business units on implementation of solutions regarding regulatory risk based on business operations and stakeholder needs. +… more
- TD Bank (New York, NY)
- …ensure clear communication and documentation of new processes + Assumes responsibility to minimize operational and regulatory risk by complying with Bank and ... to create efficiency, improve client service levels and reduce operational risk . If you are industrious, collaborative,...with customer accounts and facilitating the allocation of money manager sub-accounts for client type trading for cash and… more
- TD Bank (Bronx, NY)
- …+ Work focus time horizon is generally short term with low to moderate risk + Demonstrates understanding of bank operational policies, procedures and regulations ... Description:** The Store Supervisor supervises day-to-day team activities to ensure operational excellence and compliance with policies and procedures to mitigate … more
- TD Bank (White Plains, NY)
- …and operational oversight of the trading desk, ensuring adherence to regulatory requirements, risk management practices, and timely execution of trading ... accurate and compliant trade processing + Manages and oversees regulatory reporting requirements, including but not limited to CAT,...flagged live orders, acting as a dual control for higher- risk transactions to mitigate operational and market… more
- M&T Bank (Buffalo, NY)
- …support onboarding of new team members. + Understand and adhere to the Company's risk and regulatory standards, policies and controls in accordance with the + ... vary by department and are assigned by the department manager . The position may be responsible for additional projects...position supports. + Understand and adhere to the Company's risk and regulatory standards, policies and controls… more
- City National Bank (New York, NY)
- …units to plan a response. * Adhere to applicable compliance/ operational risk controls in accordance with Company or regulatory standards and policies. ... regulatory affairs. * For Banking Compliance related roles, Certified Compliance Risk Manager (CRCM). * For Wealth Management Compliance roles, experience… more
- BMO Financial Group (New York, NY)
- …operational issues. + Understands the complexity of transactions and related risk (credit, market, operational , legal / compliance, etc.). + Helps ... a full spectrum of integrated capabilities to deliver leading market insight, risk management, and execution services to issuing and/or investor clients, including… more
- Bank of America (New York, NY)
- …as financial crimes, including financial crimes investigations management, fraud management, regulatory compliance, risk management, or issue management + BSA ... Services & Acumen + Risk Governance & Reporting + Financial Crimes Risk Programs + Enhanced Due Diligence + Regulatory Knowledge + Case Investigations… more
- TD Bank (New York, NY)
- …on regulatory requirements and assisting business units to manage their regulatory risk . **Depth & Scope:** + Works independently and is accountable ... partners) to develop clear deliverables, milestone, and project plans for regulatory initiatives, new Global Control Room deployments, and Global Control Room… more
- Cardinal Health (Albany, NY)
- …CISSP (Certified Information Systems Security Professional), CISM (Certified Information Security Manager ), CRISC (Certified in Risk and Information Systems ... that enable operations and drive business value. **Information Security and Risk ** develops, implements, and enforces security controls to protect the organization's… more
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