- TD Bank (New York, NY)
- …for coordinating business continuity management (BCM) processes and supporting regulatory / compliance related initiatives impacting overall risks to the ... and senior management of the Bank with respect to regulatory risk and other matters + Empowered to make...Applies expert knowledge and best practices to implement process, product or service improvements + Oversees and/or independently performs… more
- MUFG (New York, NY)
- … compliance on the part of TRM's supported to adhere to all bank Regulatory Compliance policies such as the Bank Secrecy Act, USA Patriot Act, Anti-Money ... company profiles to ensure adequate recordkeeping of bank relationships. - Collaborate with Product Management partners to enhance current product set, that will… more
- Broadridge Financial Solutions (New York, NY)
- …Corporate Issuer helps clients simplify shareholder management, efficiently navigate regulatory and compliance communication requirements and gain insights ... of Business Development to lead the strategy and management of our new product suite targeting the investor relations (IR) community in our key priority markets… more
- Wells Fargo (New York, NY)
- …of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance ), which includes effectively following and adhering to ... commensurate with the business unit's risk appetite and all risk and compliance program requirements. **Applicants with Disabilities** To request a medical… more
- Wells Fargo (New York, NY)
- …of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance ), which includes effectively following and adhering to ... commensurate with the business unit's risk appetite and all risk and compliance program requirements. **Applicants with Disabilities** To request a medical… more
- Citigroup (Queens, NY)
- …(QATV), within the Finance Transformation organization, independently assess in-scope regulatory and management reports and associated report production processes ... for completeness, accuracy and conformance to regulatory requirements and adherence with relevant Policies, Standards, and Procedures with the aim of identifying… more
- TD Bank (New York, NY)
- …and the ability to effectively manage competing priorities. Liaising with Legal, Compliance , Credit, Technology, Tax, Regulatory Reporting and relevant external ... firm's procedures + Understands and complies with TD Policies, regulatory and compliance requirements + Ensures that...+ Communicates bank policy information and strategy between the product head and relevant trading personnel + Fully informed… more
- Citigroup (New York, NY)
- …leadership across Enterprise Risk. In addition, you will work closely with product and functional Internal Audit (IA) management to ensure the creation and ... model. The individual will also engage actively with the Regulatory Issue Validation audit team to support and subject...are addressed. As part of the wider IA Legal, Compliance and Risk team, they will contribute to managing… more
- Citizens (New York, NY)
- …an annual and or ad hoc targeted risk and control self-assessment on a product and service inventory. + Regulatory Knowledge: Familiarity and staying updated ... to ensure they have transparency to the embedded banking program and corresponding risk and control inventory, inclusive of...of providing guidance for applicable state and or federal regulatory requirements. You will also work with the First… more
- American Express (New York, NY)
- …across geographies. Ensure appropriate protections for data integrity, privacy, and regulatory compliance . **Minimum Qualifications** + Involvement with data ... lead by Enterprise Data Office (EDO). You will partner with business, product , platform and technology subject matter experts (SMEs), and our Data Custodian… more