- TD Bank (New York, NY)
- …a team(s) of specialists/professionals providing advice, guidance and expertise on regulatory requirements and assisting business units to manage their regulatory ... at a given time. **Education & Experience** + Bachelors degree or progressive work experience + 7-10 years related...+ Strong knowledge of SEC, FINRA and other relevant regulatory requirements. + Strong Knowledge of operations, finance, … more
- TD Bank (New York, NY)
- …for improvement. + Keep abreast of emerging issues, trends, and evolving regulatory requirements and assess potential impacts. **Team Management** + Lead a high ... Audit and various other control groups. **EXPERIENCE & EDUCATION** + Advance degree in Finance, Economics, Mathematics or other relevant discipline. + 10+ years… more
- TD Bank (New York, NY)
- …/ books. + Keep abreast of emerging issues, trends, and evolving regulatory requirements and assess potential impacts. + Oversee research, development and ... abreast of emerging issues, industry trends, new technologies and evolving regulatory requirements to proactively assess potential impact. + Proven ability to… more
- TD Bank (New York, NY)
- …lines, corporate and/or control functions and ensure alignment with enterprise and/or regulatory requirements + Keep abreast of emerging issues, trends, and evolving ... regulatory requirements + Maintain a culture of risk-based management...of expertise **EXPERIENCE AND / OR EDUCATION** + Undergraduate degree + 5+ years of relevant experience + Accounting… more
- Citigroup (New York, NY)
- …internal strategies, policies, procedures, processes, and programs to prevent violations of law , rule, or regulation and design and delivery of a risk management ... changes to rules/regulations, exchange rulebooks and other industry news including regulatory findings. + Providing oversight and guidance over the assessment of… more
- Truist (New York, NY)
- …Provide risk management support and oversight for change activities (both business and regulatory change). 6. Provide oversight and support for open risk, audit, and ... regulatory issues. Evaluate the root cause, the corrective action...with disabilities to perform the essential functions. 1. Bachelor's degree in Business, Finance or science/academic field, or equivalent… more
- TD Bank (New York, NY)
- …administrative, civil, and/or criminal findings by any government agency/authority or self- regulatory organization, are required by federal law for this ... Finance to ensure alignment across job families, entitlements, and financial & regulatory reporting. **Depth & Scope:** + Provides people management leadership by… more
- TD Bank (New York, NY)
- …regarding administrative, civil, or criminal findings by any government agency/authority or self- regulatory organization, are required by federal law for this ... knowledgeable of all OCC, FRB, SEC, FINRA and state regulatory requirements as they pertain to US Wealth activities...Corporate or Investment Banking or Wealth Management + Bachelor's degree or equivalent experience + 10+ years experience in… more
- Regeneron Pharmaceuticals (Tarrytown, NY)
- …the most complex situations. . Informs PMx management of important program and regulatory developments in a timely manner. . Ensures analyses and documentation are ... in own area within the organization. . Have extensive regulatory experience through authoring of regulatory briefing...you must have a PhD +8 years with a degree in Quantitative Pharmacology (pharmacometrics) or related field. +… more
- Highmark Health (Albany, NY)
- …improper payments.Forwards case to the Credentialing and/or Medical Review Committee, law enforcement and regulatory agencies. + Responsible for completing ... projects. + Provides advisory support as needed to internal and external law enforcement and regulatory agencies, Credentialing or Medical Review Committee.… more