- Wells Fargo (Oneonta, NY)
- …. **In this role, you will:** + Assist Financial Advisor (s) colleagues with service and operational related activities such as ... via telephone, direct interaction and/or written correspondence + Facilitate Financial Advisor and client requests for account related information and/or quotes +… more
- Bank of America (New York, NY)
- …business objectives and contributing to market profitability by influencing Financial Advisor business practices to minimize regulatory , financial, and ... by influencing Financial Advisors (FA) business practices in ways that minimize regulatory and financial risk as well as uphold the Firms' reputation. Additionally,… more
- Albany Housing Authority (Albany, NY)
- …legal, policy or compliance field as a lawyer, law clerk, policy analyst, confidential advisor /assistant, investigator or paralegal. *SPECIAL NOTE: Education ... legal, policy or compliance field as a lawyer, law clerk, policy analyst, confidential advisor /assistant, investigator or paralegal. *SPECIAL NOTE: Education… more
- Citigroup (New York, NY)
- …Credible Challenge, Escalation Management, Governance, Policy and Procedure, Policy and Regulation, Regulatory Compliance, Risk Controls and Monitors, ... with a profound understanding of blockchain technology, cryptocurrencies, and the evolving regulatory landscape of digital assets. The Risk Head will act as a… more
- University of Rochester (Rochester, NY)
- …program for academic and central administrative functions. The CCE is a trusted advisor to senior leadership as well as the president, and the University's Board ... that employees, students, faculty, and contractors, understand and adhere to legal, regulatory , and ethical standards. The CCE will build and maintain strong,… more
- NYSERDA (Albany, NY)
- …affecting the Authority; working at the highest levels of government on regulatory , policy , legislative, litigation, contract, and administrative matters. The ... General Counsel and Secretary is the chief legal advisor to the President and CEO, the Officers and...experience in the New York State energy markets and/or regulatory matters related to New York State electric utilities… more
- TD Bank (New York, NY)
- …generally manages a team greater than 5 Audit professionals/specialists + Strategic advisor to leadership team on the management of the portfolio and financials, ... process to develop the divisional annual plan + Acts as lead audit advisor to management and respective teams for area of specialization; reports on emerging… more
- American Express (New York, NY)
- …materials. + Collaborate with second line Compliance and Legal teams on policy interpretation, regulatory change implementation, and incident response. + Support ... plays a key part in ensuring that day-to-day operations align with regulatory requirements and internal policies, working closely with both business and compliance… more
- TD Bank (New York, NY)
- …Accountabilities:** + Proactively advises the business of new and changed Compliance regulatory and/or policy changes + Formulates relevant and meaningful ... standards. **Department Overview:** **U.S. Wealth Compliance acts as an independent regulatory compliance and conduct risk management and oversight function as… more
- TD Bank (New York, NY)
- …+ Provide oversight and independent challenge on business activities and initiatives with regulatory impact. + Serve as a compliance advisor to business partners ... + Proactively advises the business of new and changed Compliance regulatory and/or policy changes + Formulates relevant and meaningful insights from data… more