- SMBC (New York, NY)
- … financial services or international law firm, with an emphasis on regulatory compliance . + Experience developing policies and procedures and strong writing ... Sumitomo Mitsui Banking Corporation (SMBC) is seeking a dynamic Compliance Policy Manager to join our ...with SMEs to draft, refine, and finalize clear, comprehensive compliance policy documents adhering to regulatory expectations… more
- Raymond James Financial, Inc. (New York, NY)
- …compliance . + Rules and regulations of: Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); state securities regulatory ... develops processes and procedures to ensure adherence to all regulatory requirements. + Monitors reporting. + Partners with business...a minimum of eight (8) years of experience in Compliance and/or the financial services industry preferred.… more
- Citigroup (New York, NY)
- …experience in compliance , legal or other control-related function in the financial services firm, regulatory organization, or legal/consulting firm, or a ... and confidentiality. **Qualifications:** . 15+ years of relevant experience in financial services, regulatory engagement or consulting. . Proven leadership… more
- Synchrony (New York, NY)
- …in response to regulatory feedback from exams/reviews or change requests to regulatory reports. To ensure compliance to regulatory requirements, this ... Job Description: **Role Summary/Purpose:** The VP, Credit Regulatory Response & Reporting is a newly created...strategy impacts business performance holistically for both credit and financial metrics while able to articulate findings to senior… more
- Citigroup (Getzville, NY)
- …Engagement is a strategic professional who keeps senior management apprised of ongoing regulatory interactions across Finance. As a strong manager adept at ... presentations and talking points related to a wide-range of financial and regulatory topics. You will be...and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to… more
- KeyBank (Amherst, NY)
- …collaboration with other members of REA team on projects and testing. The Senior Compliance Manager must have in-depth knowledge of wealth and trust risk ... to testing, monitoring, issues management, and verification activities. The Senior Compliance Manager must exhibit strong leadership, initiative, and agility… more
- Aflac (New York, NY)
- VP, Investment Compliance Manager The Company: Aflac Asset Mgt. LLC The Location: New York City, NY, US, 10005 The Division: Global Investment Job Id: 8034 About ... daily review and monitoring of pre-trade and batch portfolio compliance alerts with respect to regulatory and...a plus Skills/Knowledge: + Minimum 2 years as a manager in Investment Compliance + Good working… more
- TD Bank (New York, NY)
- …New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $140,000 - $180,000 USD TD is committed to providing fair ... more specific details for this role. **Job Description:** The TD Securities US Compliance team is looking for Vice President candidates to join the trade… more
- KeyBank (NY)
- **Location:** 4900 Tiedeman Road, Brooklyn Ohio **About the Job** The Sr. Compliance Manager - Trust & Fiduciary is responsible for leading and executing ... organization, this role plays a key part in ensuring regulatory compliance and effective risk management over...+ Minimum of 5 years of experience in banking compliance , internal audit, or as a financial … more
- Citizens (New York, NY)
- …knowledge of the regulatory agencies' supervisory priorities and processes, the Regulatory Program Manager is responsible for: + Building and supporting ... direction of the, Deputy General Counsel & Head of Regulatory Relations for the Bank Regulatory Group,...the Federal Deposit Insurance Corporation) with respect to Citizens Financial Group, Inc. (CFG) and its primary bank subsidiary… more