- Navient (Albany, NY)
- …together! **The Senior Compliance Analyst position will report to the Sr. Compliance Manager - Head of 1st Line of Defense Compliance.** **As the Senior Compliance ... by contributing to policies, procedures, and training materials aligned with regulatory best practices. + Lead risk assessments and compliance initiatives to… more
- KeyBank (NY)
- …and other risk partners to ensure appropriate action is taken to address regulatory expectations and to ensure Key maintains compliance with financial crimes ... regulatory requirements. Support the AML Enterprise Team Director with...processes as directed by the AML Enterprise Team Compliance Manager and the Team Director. **ESSENTIAL JOB FUNCTIONS** +… more
- Manulife (New York, NY)
- …all prospective investors subject to acceptance by the general partner or manager , across all Private Markets products, including open-end and closed-end funds. ... AML/TF risk assessments including the evaluation of any external regulatory changes and/or changes to internal MCF policies and...required + Experience in a legal, banking, broker dealer, regulatory , private equity fund or asset management firm is… more
- Manulife (New York, NY)
- …all prospective investors subject to acceptance by the general partner or manager , across all Private Markets products, including open-end and closed-end funds. ... AML/TF risk assessments including the evaluation of any external regulatory changes and/or changes to internal MCF policies and...required + Experience in a legal, banking, broker dealer, regulatory , private equity fund or asset management firm is… more
- Mount Sinai Health System (New York, NY)
- …and records observations on progress of research, investigations and data per regulatory requirements and MSMC protocols. 5. Establishes goals and objectives for ... department/institution. 6. Provides assistance to the Principle Investigator or Research Manager on grant applications. Organize study protocol for related research… more
- TD Bank (New York, NY)
- …firm + Contribute, as needed, to annual compliance training requirements and regulatory change impact assessments **Education & Experience:** + Bachelors degree or ... experience + JD desirable but not required + Knowledge of operations, finance, regulatory reporting, sales and trading, and applicable rules and regulations, and the… more
- TD Bank (New York, NY)
- …and Business stakeholders to ensure technology solutions meet evolving regulatory and business requirements. **Product Control Technology Oversight:** . Manage ... engines, and controls for trading and valuation data. **Finance and Regulatory Technology:** . Oversee platforms supporting general ledger (including subledger and… more
- TD Bank (New York, NY)
- …Focuses on short to mid- range planning (eg 6-12 months) + Manages regulatory reviews including inquiries, audits, and exams **Education & Experience:** + Bachelors ... organization. + JD desirable but not required + Knowledge of operations, finance, regulatory reporting, sales and trading, at a global financial institution. + Firm… more
- Citizens (Tarrytown, NY)
- …intimately focusing on each client's unique circumstances. The Investment Operations Sr. Manager will be responsible for effective and efficient oversight of several ... + Oversight of the accurate and timely production of internal, client and regulatory reporting + Lead the development and implementation of new reports and… more
- JPMorgan Chase (New York, NY)
- …need to work well in a team environment, be able to represent the manager /group with professional courtesy and acumen, and deliver flawless work output. This role ... supports the Global Technology Regulatory Exam Management team in the US which handles...Management team in the US which handles technology focused regulatory examinations and regulatory engagements conducted by… more