- Wells Fargo (New York, NY)
- …subject to statutory disqualification. Successful candidates must also meet ongoing regulatory requirements including additional screening and are required to report ... all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively following and adhering to applicable… more
- TD Bank (New York, NY)
- …be responsible for analyzing new rules, process changes and supporting tax regulatory compliance for the firm. **Key Responsibilities Include** + Manage the firm's ... compliance with global tax and regulatory obligations + Provide tax technical rulings and guidelines...and geographical activity + Lead business analysis on global regulatory changes, new rules, and process improvements + Process… more
- M&T Bank (Buffalo, NY)
- …including currency of documentation requirements for assigned projects, as well as regulatory and compliance requirements. + Understand and adhere to the Company's ... risk and regulatory standards, policies and controls in accordance with the Company's Risk Appetite. Identify risk-related issues needing escalation to management. +… more
- MUFG (New York, NY)
- …ensure 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 ... not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA). The major… more
- SMBC (New York, NY)
- …to include: bank capital structure, and a general understanding of regulatory requirements. Regional Bank coverage experience is a plus. **Role Objectives** ... a team in a fast-paced entrepreneurial environment + An interest in the regulatory framework for Banks and Broker Dealers, to include industry regulations, policies… more
- conEdison (New York, NY)
- …capacity markets + Utility accounting systems and methods + Energy Policy and/or Regulatory matters + Contract administration + Knowledge of the natural gas and or ... electricity markets + Knowledge of periodic reporting with one or more regulatory agencies + Experience dealing with Internal and/or External auditors + Must have… more
- AIG (New York, NY)
- …+ Support internal partners as needed to respond to rating agency surveys, regulatory filing, data calls and other ad-hoc reporting, for various US state and ... national insurance regulatory bodies. + Be a best practices expert for Underwriting Teams, the CoE, and operational groups across the company. Proactively review and… more
- M&T Bank (Williamsville, NY)
- …Manage the planning, testing, and implementation of new projects, systems, products and regulatory changes impacting the unit (dept). + Act as lead for departmental ... to applicable compliance/operational risk controls in accordance with Company or regulatory standards and policies. + Promote an environment that supports belonging… more
- Janus Henderson Investors (New York, NY)
- …role. Actual pay may be different. You will be expected to understand the regulatory obligations of the firm and abide by the regulated entity requirements and JHI ... applicants' eligibility for this position. You will be expected to understand the regulatory obligations of the firm, and abide by the regulated entity requirements… more
- City of New York (New York, NY)
- Job Description The New York City Business Integrity Commission (BIC) is a regulatory and law enforcement agency with jurisdiction over the trade waste industry and ... findings, updating case files and agency databases, and liaising with other regulatory and law enforcement partners. Intel Analysts may also conduct research and… more