- JPMorgan Chase (New York, NY)
- …at the forefront of guiding our Financial Advisors, ensuring adherence to regulatory obligations and managing operational risk. This role offers a unique opportunity ... will lead and oversee a territory of Financial Advisors, ensuring compliance with regulatory obligations and managing operational risk. You will work closely with us… more
- Wells Fargo (New York, NY)
- …proactively but strategically, managing expectations, and soliciting feedback; act as an advisor to guide and influence others in growing relationships + Act as ... an advisor to senior leadership to develop, influence, or lead...all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively following and adhering to… more
- JPMorgan Chase (New York, NY)
- …on a global team that is passionate about personalizing client and advisor -facing experiences, focusing on Wealth Management Personalization, to help both the client ... the opportunity to help people invest on their own or with an advisor , informed by industry-leading proprietary research and third-party market data, tools, and… more
- Citigroup (New York, NY)
- …Client Financing offering. The Product manager also stays abreast of industry and regulatory trends to help shape innovative product design, ensure risk and control, ... industry trends, enhancing business profitability, and strengthening risk and controls and regulatory compliance. The product manager will help scope and define the… more
- TD Bank (New York, NY)
- …develop and implement proactive strategies, tactics and programs to effectively manage regulatory oversight and governance issues + Develops and implements sales and ... mandate, including the development of strategy and practice around Advisor effectiveness, retention, coordinating with other TDBG/Wealth management business and… more
- NYU Rory Meyers College of Nursing (New York, NY)
- …Compliance Program in order to ensure compliance with evolving laws and regulatory requirements in addition to University policies and procedures. The CGCO should ... ensure excellence in the University's efforts to comply with its institutional, regulatory and legal obligations. This office will ensure both general and specific… more
- BMO Financial Group (New York, NY)
- …groups. Applies specialized knowledge of Accounting & Financial management risk, regulatory compliance and internal controls related to financial processes and ... and ensures clear accountability for follow through. + Acts as a trusted advisor on governance matters. + Influences and negotiates to achieve business objectives. +… more
- Highmark Health (Albany, NY)
- …acts within the parameters of federal and state laws, regulations, and regulatory guidance. The incumbent is also responsible for the administration, interpretation, ... and intake protocols, monitoring and implementation of new or changing regulatory requirements, risk assessment and audit execution, risk treatment plans, policy… more
- Citigroup (New York, NY)
- …and risks impacting the business** **Advise** **s** **the FDC business on complex regulatory issues and novel contractual issues that arise as FDC adds customers and ... industry standards, widely accepted business practices, laws, rules, and regulatory guidelines, escalating where appropriate** **Collaborates across internal lines… more
- MUFG (New York, NY)
- …business environment. **Key Responsibilities** + Serve as lead internal legal advisor on ABS transactions, including public and private securitizations, CLOs, and ... offering materials, engagement letters, and fee letters. + Manage legal and regulatory risks in connection with ABS and CLO execution, marketing, and disclosure.… more