- TD Bank (New York, NY)
- …TD Securities wholesale operations in the US, in line with Group and regulatory requirements. The successful candidate will be a strong communicator, with both ... and with a demonstrated ability to work across the organization on high-profile regulatory deliverables. This position will appeal to a motivated individual who is… more
- MUFG (New York, NY)
- …Anti-Money Laundering, Bank Secrecy Act, Information Security and suspicious activity reporting requirements, and other regulatory and compliance policies and ... or Q&A sessions. + Works with Product Managers on competitive analyses, reporting on product performance metrics, strategy planning and presentations. + Assists with… more
- MUFG (New York, NY)
- …desks. * Drive governance and ensure adherence to internal controls, audit, and regulatory standards. * Prepare and deliver performance reporting , KPIs, and ... working in a global investment bank or trading environment. * Familiarity with regulatory frameworks (eg, Basel III, FRTB, Volcker Rule). * Knowledge of front-office… more
- Amentum (Albany, NY)
- …audits, ensuring timely documentation and resolution of audit findings. Support regulatory inspections and certification processes. + **Documentation, Reporting ... Continuously assess and improve controls to address emerging cybersecurity threats, regulatory changes, and industry best practices. + **Audits, Risk Assessments &… more
- Equinox, Inc (Albany, NY)
- …requirements + Participate in development of an annual budget + Assures incident reporting is timely and meets regulatory standards + Conducts weekly staff ... of the day-to-day operations of the program, coordination of service delivery, regulatory compliance, staff supervision and fiscal viability of the program in the… more
- TD Bank (New York, NY)
- …management of the Compliance Risk Assessment framework to ensure the applicable regulatory compliance risks and internal controls are identified and assessed to ... support Oversight Functions and their covered businesses with defining and logging regulatory issues and/or remedial action plans + Support the review and… more
- CIBC (New York, NY)
- …Office and Technology personnel on developing and implementing solutions to address regulatory requirements; 3) identifying and addressing the regulatory aspects ... new US and cross-border business initiatives; 4) assisting with regulatory exams by regulators such as NFA and SEC;...to swaps implemented under the Dodd-Frank Act (eg real-time/SDR reporting , large trader reporting , external business conduct… 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 ... entities and systems to assure TDS positions are reported on time. + ** Reporting :** With the Global Head and key stakeholders: assist with leading oversight… more
- TD Bank (New York, NY)
- …Compliance Program Senior Manager to support the CPM function and overall Regulatory Compliance Management (RCM) Program and Framework. This role will develop and ... feedback on the Third-Party Risk Management Standard to align with regulatory expectations and Compliance's roles and responsibilities.** ** Regulatory Compliance… more
- conEdison (New York, NY)
- …Knowledge of the natural gas and or electricity markets + Knowledge of periodic reporting with one or more regulatory agencies + Experience dealing with Internal ... and/or External auditors + Must have strong computer skills including Microsoft Office products (Word, Excel, and Power Point), and the ability to summarize and interpret data + Must be self-starter and detail oriented Required + Must possess strong leadership… more