- TD Bank (New York, NY)
- …and services, and are operating within risk appetite in compliance with regulatory requirements, Bank policies and risk appetite. Members of TDS Governance & ... adhering to internal (risk management, oversight function and audit) and regulatory requirements, requests, and expectations. **JOB DESCRIPTION** Reporting to the… more
- TD Bank (New York, NY)
- …a key role in the USA providing support in financial, management, liquidity, and regulatory reporting. In addition, by its nature as a primary control and support ... Specific Accountabilities Include: + Lead level 1 review of regulatory deliverables associated with NY Branch and review ...have regular career, development, and performance conversations with your manager , as well as access to an online learning… more
- City National Bank (New York, NY)
- …is responsible for managing and maintaining assigned areas of the compliance program covering US Mortgage Banking including monitoring business area compliance with ... ensuring controls are in place to mitigate compliance risk. Maintaining regulatory change management, policies and procedures, training, and advisory matters for… more
- TD Bank (New York, NY)
- …and clients through capital markets deal origination including execution of regulatory and legal trading agreement requirements globally. This team maximizes revenue ... **Depth & Scope:** + Negotiates a robust portfolio of capital markets regulatory agreements globally, ensuring regulatory compliance across specific trading… more
- Equitable (New York, NY)
- …leadership role encompassing strategic investment management, asset-liability oversight, and manager accountability. Reporting to the Chief Investment Officer, the ... maintain investment guidelines, establish risk limits, and ensure compliance with regulatory frameworks. Monitor policy adherence, aiming for zero violations of… more
- City National Bank (New York, NY)
- …management skills and be accustomed to working with deadlines. * Certified Regulatory Compliance Manager (CRCM), Certified Internal Auditor (CIA), and/or ... closed in a manner which both adheres to the regulatory requirements and ensures business continuity. WHAT WILL YOU...or revised laws and regulations. * Assist the Compliance Manager , Senior Compliance Officer, and Risk Assessment team with… more
- Wellington (New York, NY)
- …of applicable policies and procedures + Support Wellington's private investments compliance program regulatory risk areas including those that pertain to ... Analyst will support Wellington Management's Global Private Investments Compliance program , focusing on information controls. As Wellington is expanding the… more
- TD Bank (New York, NY)
- …implementing, and maintaining a robust financial crime risk management ("FCRM") program that meets regulatory requirements and mitigates financial crime ... customers, products, transactions, and FCRM-related processes. The team mandate includes regulatory compliance, program remediation, risk management, and … more
- Equinox, Inc (Albany, NY)
- …and fiscal viability of the program in the absence of the Program Manager . Essential Duties and Responsibilities: + Establishes and promotes program ... for the oversight of the day-to-day operations of the program , coordination of service delivery, regulatory compliance,...directs day to day functioning and oversight of the program in absence of Program Manager… more
- Regeneron Pharmaceuticals (Tarrytown, NY)
- …the program . + Contributes/Leads development of clinical sections of program level regulatory documents such as Investigators' Brochures, briefing books, ... functionally + Have medical/scientific expertise in the disease area of assigned program + Understand global regulatory environment including key regulatory… more