- University of Rochester (Rochester, NY)
- …Provides expert counsel to management to reduce legal risks and ensure regulatory compliance . Partners with legal counsel as needed/required. + Other ... the organization's business objectives. Maintains business literacy related to the financial position, culture, business objectives, and goals of the designated… more
- TD Bank (New York, NY)
- …to automation and process improvement initiatives to enhance documentation workflows and regulatory compliance . + Prepare and deliver reporting on documentation ... system + Supports internal initiatives related to documentation, process automation, and regulatory compliance **Education & Experience:** + Law degree is… more
- JPMorgan Chase (New York, NY)
- …work closely with various teams, portfolio companies, internal JPMorgan Legal and Compliance departments, external counsel , and other advisors to achieve ... raising and investment vehicle formation, eager to develop new capabilities in regulatory positioning and credit facilities. **Job Summary** As a Vice President in… more
- New York State Civil Service (Albany, NY)
- …foreign bank licensing; leverages strong written and verbal skills as liaison with financial institutions, other regulatory agencies, and law firms on matters ... emerging financial products and technologies; provides legal analysis and counsel in the development of policy documents, such as proposed legislation, proposed… 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 ... are identified, controls are effective and governance aligns with regulatory , ethical and strategic objectives. This role will lead...Citi IA as the leading IA function in the financial services industry. Citi IA is a dynamic global… more
- TD Bank (New York, NY)
- …in compliance with applicable internal and external requirements (eg financial controls, segregation of duties, transaction approvals and physical control of ... to month-end financial closing, which details the Bank's month-to-month financial condition, and/or completion of regulatory reports + Reviews monthly… more
- TD Bank (New York, NY)
- …**Depth & Scope:** + Negotiates a robust portfolio of capital markets regulatory agreements globally, ensuring regulatory compliance across specific ... requirements to business lines, clients and their legal counsel in an efficient, business-friendly manner + Participates in...TD Securities' new and existing client base to ensure regulatory compliance daily + Utilizes technology to… 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
- Citigroup (New York, NY)
- …+ ** Compliance Risk:** Ensure that all activities comply with regulatory requirements, including KYC (Know Your Customer) and global anti-money laundering (AML) ... including debt and equity underwriting, and a strong understanding of the associated financial , regulatory , and reputational risks. + ** Regulatory Acumen:**… more
- Citigroup (New York, NY)
- …LFU Mumbai to perform periodic written reviews of the clients' financial and operating performance, covenant compliance , management/relationship strategy, and ... a comprehensive understanding of the wide range of complex financial issues facing our clients and can provide VPs...leveraged lending underwriting experience. Prior experience working in a regulatory and compliance policy environment + Proven… more
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