- University of Rochester (Rochester, NY)
- …to ensure compliance with federal, state, and institutional guidelines. + ** Regulatory Compliance ** : Ensure strict adherence to the Federal Acquisition ... in compliance with organizational and governmental standards. Maintains compliance with all country-mandated regulatory requirements. Documents legal… more
- Bank of America (New York, NY)
- …+ Monitor advisor and client activity including financial transactions to ensure compliance with firm and regulatory requirements and minimize risk + Coach ... Merrill Market Supervision Manager New York, New York **To proceed with...business objectives and contributing to market profitability by influencing Financial Advisor business practices to minimize regulatory ,… more
- WMCHealth (Valhalla, NY)
- …Summary: The 340B Program Compliance Analyst is responsible for maintaining regulatory compliance within the 340B Program across all WMCHealth entities. This ... liaison to key stakeholders, ensuring proper utilization of the 340B program and compliance with all regulatory requirements in conjunction with the 340B Program… more
- Scotiabank (New York, NY)
- …of day-to-day business controls to meet obligations with respect to operational risk, regulatory compliance risk, AML/ATF risk and conduct risk, including but ... Senior Manager , Business Risk Management US GTB **Requisition ID:**...to responsibilities under the + Operational Risk Management Framework, Regulatory Compliance Risk Management Framework, AML/ATF Global… more
- TD Bank (New York, NY)
- …drafting, updating, and implement relevant policies and procedures. + Provide regulatory / compliance training. + Participate in internal investigations, respond ... trading systems and market structure preferred + Significant experience in providing legal, regulatory or compliance advice to Equity Sales & Trading Businesses… more
- SMBC (New York, NY)
- …strategy for climate-related financial risk assessment and analytics. ** Regulatory Compliance & Reporting:** Partner with relevant corporate functions, ... also help advise senior leaders in Risk, Business, and Regulatory Compliance functions on the operation of...eg regulatory reporting, legal, compliance , sustainability, risk verticals, to prepare climate-related … more
- Wells Fargo (New York, NY)
- …are accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance ), which includes ... this role:** Wells Fargo is seeking a Branch Support Manager in Wealth and Investment Management as part of...training, military experience, education + US only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7… more
- TD Bank (New York, NY)
- …provides advice, guidance and support to business units in adhering to regulatory / compliance requirements and assists in implementing compliance initiatives ... to help manage regulatory risk. ** Compliance Monitoring & Compliance Oversight** + Assist...+ Knowledge of global financial institutions' operational, financial , sales and trading, and regulatory reporting… more
- Mizuho Corporate Bank (New York, NY)
- …Lead modernization of compliance screening technology platforms like Prime Compliance Manager , FIRCO, and related systems- Architect and execute cloud ... across multiple partner applications and systems- Develop modernization roadmaps ensuring regulatory compliance continuity- Collaborate with Legal, Risk, … more
- City National Bank (New York, NY)
- …executive decision-making. * Expertise in OCC, FRB, FFIEC, and other financial regulatory requirements, including technology requirements, regulatory ... IT RISK STRATEGY* WHAT IS THE OPPORTUNITY? The Senior Manager will lead the T&I Regulatory Remediation...monitoring, reporting, and mitigation of emerging risks. * Ensure compliance with regulatory requirements (eg, OCC, Federal… more