- MUFG (New York, NY)
- …Anti-Money Laundering, Bank Secrecy Act, Information Security and suspicious activity reporting requirements, and other regulatory and compliance policies and ... not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA). The major… more
- SMBC (New York, NY)
- …part of SMBC Americas' strategy to build a commercially competitive, US regulatory -based Commercial and Investment Bank, SMBC Americas Division has launched an ... understanding of data management principles, and the ability to navigate complex regulatory and control environments. The role will manage end-to-end delivery for… more
- TD Bank (New York, NY)
- …Risk Analyst, RCSA Manager** provides a broad range of research, analysis, reporting , monitoring and/or operational process support within a defined area of ... and senior management of the Bank with respect to regulatory risk and other matters + Empowered to make...operate + Impacts a high level of complexity in operational/ reporting /process and/or analysis function requiring medium to longer term… more
- BMO Financial Group (New York, NY)
- …and Commodities ("FICC") LOBs and other internal business partners to ensure regulatory , corporate and fiduciary obligations are met. You will have a specific ... BMO's Fixed Income activities, and maintain current knowledge of regulatory requirements and developments, monitoring risk/trade surveillance, and identifying and… more
- HSBC (New York, NY)
- …operate consistently and efficiently globally, and to take account of additional local regulatory requirements. MRM is comprised of four key activities: + Model Risk ... providing second line assurance on the implementation of policy, and monitoring regulatory developments impacting model risk. + Model Risk Stewardship - Facilitating… more
- HSBC (New York, NY)
- …implementation of the Regulatory Compliance strategy. + Ensure effective Regulatory Compliance input to the governance and reporting processes impacting ... our communities and the planet we all share. As Risk Stewards, Regulatory Compliance (RC) Advisors provide advice, guidance, opinions, direction, and training… more
- TD Bank (New York, NY)
- …and/or non-standard requests + Researches and investigates a range of operational / reporting / process issues + Recommends and implements solutions within own area ... work with other areas as needed + Provides advanced analysis and/or specialized reporting to support business partners, functional areas or centres of expertise +… more
- KeyBank (NY)
- …LOBs risks, controls, testing, remediation, loss analysis, key risk indicators, reporting , policy, and procedure development. Perform oversight activities and assume ... that may expose KeyCorp and its affiliates to losses, regulatory or reputation risks, or to risk levels that...testing, advise on and monitor remediation activities and create reporting , ensuring line of business alignment within the Operational… 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...Net Stable Funding Ratio (NSFR) calculations and adherence to reporting instructions. The role entails leading the team in… more
- Arc Allegany-Steuben (Wellsville, NY)
- …conducting incident investigations, completing surveys/reviews, and training. JOB FUNCTIONS: Regulatory + Conduct investigations related to the Incident Management ... process + Maintain a working knowledge of regulatory requirements and agency procedure regarding investigations including the...a working knowledge of all trainings, ie, SCIP-R, incident reporting , CPR, first aid, etc., and be the trainer… more