- American Express (New York, NY)
- …Compliance oversight, guidance and challenge to business stakeholders on compliance/ regulatory requirements applicable to projects and processes. This requires ... (eg marketing collateral) to effectively mitigate compliance risks and provide regulatory guidance on the applicability of consumer credit laws including but… more
- Citigroup (New York, NY)
- …region of the world and every sector that shapes your daily life, our Enterprise Operations & Technology teams are charged with a mission that rivals any large tech ... Services and Public Affairs (ESPA). The team provides high quality exam support and regulatory filings as well as strategic and advisory support for the Firm on… more
- Citigroup (New York, NY)
- …changes to rules/regulations, exchange rulebooks and other industry news including regulatory findings. + Providing oversight and guidance over the assessment of ... or other client/transaction-related compliance escalations. + Representing Citi on critical regulatory matters as required. Serves as liaison with regulatory … more
- New York State Civil Service (New York, NY)
- …will include, but are not limited to, the following: * Renders professional regulatory and legal advice of a high degree of difficulty involving application of ... with, and effectively collaborates on, policy, enforcement, litigation, and regulatory matters concerning the regulation of financial institutions doing business… more
- Citigroup (Queens, NY)
- …(QATV), within the Finance Transformation organization, independently assess in-scope regulatory and management reports and associated report production processes ... for completeness, accuracy and conformance to regulatory requirements and adherence with relevant Policies, Standards, and Procedures with the aim of identifying… more
- Truist (New York, NY)
- …identified risks. 2. Responsible for executing the responsibilities of various operations and enterprise risk programs in accordance with the program requirements ... Provide risk management support and oversight for change activities (both business and regulatory change). 6. Provide oversight and support for open risk, audit, and… more
- MUFG (New York, NY)
- …set up and distribution + Maintain close working relationships with Front Office, Operations , Risk, Audit, Compliance and Regulatory departments to ensure needs ... in the context of business/market events; + Ensure adherence to relevant regulatory requirements and accounting standards; + Documentation of control activities and… more
- 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 ... applicable to the discipline + Adhere to internal policies/procedures and applicable regulatory guidelines + Keep abreast of emerging issues, trends, and evolving … more
- BMO Financial Group (New York, NY)
- …including SEC 15c3 experience, possessing a strong understanding of broker dealer operations and SEC/FINRA regulations. If you have dealt with trading intricacies ... groups. Applies specialized knowledge of Accounting & Financial management risk, regulatory compliance and internal controls related to financial processes and… more
- TD Bank (New York, NY)
- …a robust financial crime risk management ("FCRM") program that meets regulatory requirements and mitigates financial crime risk. This involves providing guidance ... on regulatory compliance, close partnership with business and legal, and...maintain the TDS US FCRM program. + Advise TDS Operations and other 1st line support functions on interpretation… more