- Citigroup (Getzville, NY)
- …non-compliance with the SEC's Client Asset Protection rule (15c3-3), a Tier 2 US regulation . This is deemed a Financial Responsibility rule by the SEC, requiring an ... monitor that the firm's trade/system flows are operating within the confines of this regulation to ensure client positions are not at risk of being utilized. +… more
- Raymond James Financial, Inc. (New York, NY)
- …Act as subject matter expert in an area of technology, policy, regulation , or operational management for the team. Maintain external accreditations and in-depth ... understanding of current and emerging external regulation and industry best practices through continuing professional development, attending conferences, and reading… more
- Bank of America (New York, NY)
- …ability to use data analytics applications. + Knowledge of market risk capital regulation (Basel III implementation through the US Market Risk Rule and the Capital ... Requirements Regulation in EU and UK jurisdictions), awareness of requirements in the Fundamental Review of the Trading Book and the wider regulatory environment… more
- New York State Civil Service (Albany, NY)
- …system that benefits individuals and supports business. Through engagement, data-driven regulation and policy, and operational excellence, the Department and its ... a demonstrated ability to supervise large teams.* Familiarity with financial services regulation and New York Banking and Financial Services Laws.* Strong analytical… more
- New York State Civil Service (Albany, NY)
- …system that benefits individuals and supports business. Through engagement, data-driven regulation and policy, and operational excellence, the Department and its ... that need to be taken;* Reviews apparent violations of law or regulation , discusses each case with assisting examiners and institution management, determines what… more
- New York State Civil Service (Albany, NY)
- …that benefits New Yorkers and supports business. Through engagement, data-driven regulation , and operational excellence, DFS is responsible for empowering consumers ... Health Bureaus. The Life and Health Bureaus are responsible for the supervision and regulation of the entire life and health insurance industries in New York State… more
- New York State Civil Service (Albany, NY)
- …system that benefits individuals and supports business. Through engagement, data-driven regulation and policy, and operational excellence, the Department and its ... Health Bureaus. The Life and Health Bureaus are responsible for the supervision and regulation of the entire life and health insurance industries in New York State… more
- New York State Civil Service (Westhampton Beach, NY)
- …where applicable, all matters are carried out in accordance with National Guard Regulation (NGR) 5-1 and all applicable Air National Guard Instructions (ANGI) such ... operate a motor vehicle in the State of New York. In accordance with regulation , must report any change in driver's license status through the chain of command.Must… more
- New York State Civil Service (Albany, NY)
- …system that benefits individuals and supports business. Through engagement, data-driven regulation and policy, and operational excellence, the Department and its ... Duties include, but are not limited to, the following:Health Bureau: Oversees the regulation of health insurance and the implementation of health care initiatives in… more
- New York State Civil Service (Albany, NY)
- …system that benefits individuals and supports business. Through engagement, data-driven regulation and policy, and operational excellence, the Department and its ... that relate to the interpretation and enforcement of the Cybersecurity Regulation ; works with the cybersecurity intelligence and investigation teams regarding… more