- Citigroup (New York, NY)
- …Receipt programs (eg, ADRs, GDRs), including program structure, lifecycle management, regulatory compliance (eg, SEC filing requirements), and market dynamics. ... (dividends, stock splits, rights issues) as they pertain to DRs. **2. Regulatory and Compliance Landscape** + **SEC Regulations:** Comprehensive understanding of… more
- Citigroup (New York, NY)
- … exams. + Coordinate with external parties to support Citi's responses for regulatory compliance , validation of regulatory issues and ensuring timelines ... ensuring risks are identified, controls are effective and governance aligns with regulatory , ethical and strategic objectives. This role will lead and develop a… more
- New York State Civil Service (New York, NY)
- …of general counsel as well as external federal or state regulatory agencies, Conference of State Bank Supervisor's multistate Mortgage Committee, State ... limited to:* Supervising in house functions related to monitoring compliance with applicable laws and regulations as well as...Regulatory Registry on enforcement and legislative matters;* Providing guidance… more
- TD Bank (New York, NY)
- …operations, products and services, and are operating within risk appetite in compliance with regulatory requirements, Bank policies and risk appetite. Members ... best practices. + Maintain a comprehensive understanding of existing and emerging regulatory requirements, inherent risks, Compliance Policies and Standards, to… more
- City of New York (New York, NY)
- …community safety and decrease recidivism. Under the direction of the General Counsel and Director of Investigations and Trials, with wide latitude for independent ... are not limited to, the following: - Providing legal counsel and making recommendations concerning the soundness of charges,...and updating agency policies and procedures; - Overseeing agency compliance with and advising staff on laws, rules, and… more
- City of New York (New York, NY)
- …and programs for youth in the community. The Office of the General Counsel (OGC) provides legal representation and advice to the Commissioner and all divisions ... legal vulnerability and coordinates with other Divisions to ensure compliance with court orders, consent decrees, and other legal...with court orders, consent decrees, and other legal and regulatory mandates. OGC also works closely with the NYC… more
- M&T Bank (Getzville, NY)
- … compliance /operational risk controls in accordance with Company or regulatory standards and policies. Maintain M&T internal control standards, including timely ... processing. Serves as a key contact for both internal and external counsel . **Primary Responsibilities:** Collaborate with Workout personnel and outside counsel … more
- Excellus BlueCross BlueShield (Rochester, NY)
- …includes investigating and remediating allegations of FWA while adhering to compliance and regulatory requirements. Primary activities include substantiating ... assures accuracy of information provided to providers, regulators, law enforcement, Legal, Compliance and outside counsel . Prepares cases for prosecution, civil… more
- Datavant (Albany, NY)
- …privacy-by-design principles and ensuring that quality activities support privacy and regulatory compliance . + **Provider Product Advisory Support:** Partner ... legal credentials, this role will also include responsibilities such as responding to regulatory inquiries and serving as HIPAA privacy counsel to issue legal… more
- Gateway Hudson Valley (Beacon, NY)
- …service areas in accordance the Individualized Service Plan, certifying/ regulatory bodies including OMH/OPWDD/HUD, and Gateway's goals. ESSENTIAL RESPONSIBILITIES ... Provide necessary transportation when public transportation is not available. + Counsel residents during crisis situations as needed. Advise the Residential Manager… more