- HSBC (New York, NY)
- …our more than 40 million customers. We're bringing together the people, ideas and capital that nurture progress and growth, helping to create a better world - for ... operate consistently and efficiently globally, and to take account of additional local regulatory requirements. MRM is comprised of four key activities: + Model Risk… more
- CIBC (New York, NY)
- …Office and Technology personnel on developing and implementing solutions to address regulatory requirements; 3) identifying and addressing the regulatory aspects ... new US and cross-border business initiatives; 4) assisting with regulatory exams by regulators such as NFA and SEC;...+ 4-year undergraduate degree; + Minimum 5-7 years of capital markets Compliance or Legal experience (two years or… more
- TD Bank (New York, NY)
- …Description:** The Global Compliance Surveillance Department is responsible for overseeing regulatory compliance across TDS in accordance with the Global Compliance ... Operating Framework. The team is accountable for promoting regulatory compliance by developing and maintaining a comprehensive communications surveillance program,… more
- MUFG (New York, NY)
- …credit analysis and credit applications in accordance with internal policies and regulatory guidance, including + The evaluation of company-specific, industry, and ... regulatory risks + Company historical operating performance and +...historical operating performance and + Projected operating performance & capital structures + Support the sponsor coverage team's idea… more
- Ellis Medicine (Niskayuna, NY)
- …compliance with Ellis Medicine's policies/procedures, service excellence standards and regulatory requirements. Requirements: Currently licensed in New York State as ... of the particular patient population meets or exceeds institutional and regulatory standards. * Maintains current knowledge of nationally recognized standards of… more
- CIBC (NY)
- …development of actionable and sustainable recovery strategies that ensure alignment with regulatory expectations and corporate guidelines. A key aspect of this role ... analysis, identify potential business interruption risks, including operational, financial and regulatory and work with the business units to create strategies to… more
- SMBC (New York, NY)
- …presence in the US, Canada, Mexico, Brazil, Chile, Colombia, and Peru. Backed by the capital strength of SMBC Group and the value of its relationships in Asia, the ... Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets, Inc., SMBC MANUBANK, JRI America, Inc., SMBC Leasing and Finance,… more
- TD Bank (New York, NY)
- …the business, with such advice tailored to resolving issues with consideration to regulatory requirements, regulatory and firm risk and industry best practice. ... + Advise business areas on firm policies and procedures, regulatory requirements and industry best practice. + Identify ...We Are** TD Securities offers a wide range of capital markets products and services to corporate, government, and… more
- TD Bank (New York, NY)
- …that alert review processes align with firm requirements and global regulatory expectations. **Department Overview:** Our team of trusted Surveillance Compliance ... Director of Quality Assurance with providing advice, guidance and expertise on regulatory requirements and assisting business units to manage their regulatory … more
- Mizuho Corporate Bank (New York, NY)
- …banking coverage, sponsor coverage, advisory and solutions and loan capital markets/syndicate to Mizuho's client base of leading international corporations, ... client business activities throughout the region with an extensive range of capital markets and lending capabilities and an integrated team of coverage, advisory… more