- Marex (New York, NY)
- …(eg dealer, bank) or regulator. Candidates with experience in roles with a heavy regulatory aspect (eg operations , trade reporting , operational risk etc.) ... provide Compliance Advisory services for Swap Dealer support functions such as Trade Reporting , Operations , and Finance. + Ensuring compliance with the company's… more
- Amazon (New York, NY)
- …seeking a dedicated and knowledgeable Compliance Manager to oversee and manage regulatory challenges, to include Fire Code Compliance. This includes Certificate of ... Fitness (COF) requirements for our operations across the New York region, however the position...training, renewal, auditing, and coordination with stakeholders to reduce regulatory risk and maintain operational readiness. US and Canada… more
- TD Bank (New York, NY)
- …SEC, FINRA and other relevant regulatory requirements. + Strong Knowledge of operations , finance, regulatory reporting , sales and trading, and applicable ... risk. **Key Responsibilities** + Manage the day to day operations of the branch inspections team which include but...senior and line managers and other stakeholders on regulatory interactions. + Strong analytical skills, attention to detail,… more
- TD Bank (New York, NY)
- …broker dealer or regulator. + JD desirable but not required. + Knowledge of operations , finance, regulatory reporting , sales and trading, and applicable ... team to ensure we have the appropriate metrics and reporting for testing activities throughout our testing cycle. +...senior and line managers and other stakeholders on regulatory interactions. + Strong analytical skills, attention to detail,… more
- Wolters Kluwer (New York, NY)
- …and test technical and GTM feasibility + Experience with legal content, regulatory tracking, compliance frameworks, or professional publishing operations + ... Legal and Regulatory US is focused on the strategic use...Medical Claims and Content, Retirement Plan Compliance and Legal Operations Software. In addition, within the Legal Research space,… more
- Outreach Development Corporation (Richmond Hill, NY)
- …the organization's financial well-being. Compliance + Ensure compliance with financial reporting requirements, regulatory standards, tax reporting , grant ... Outreach. This role is responsible for: + Overseeing all financial operations , driving financial strategy, and providing financial leadership across the… more
- TD Bank (New York, NY)
- …overarching strategy in developing solutions across multiple functions or operations + Interprets internal/external business challenges and the industry environment, ... compelling business context and advice; influences and gains alignment across increasingly senior stakeholders + Works autonomously as the lead and guides others… more
- MUFG (New York, NY)
- …aspects related to issue management, risk assessments, control testing, risk metric reporting , documenting loss events, and assisting operations business lines ... Management Business Review (MBR), Risk Metric Reporting , Issue Management Reporting ) + Assist with creation/tacking/management of MUSA Operations SLA Metrics… more
- Citigroup (Getzville, NY)
- …closure of issues. The Issue Management Quality Assurance Director is a senior management position within the Services Controls and Issue management organization. ... the Businesses, Risk, ICRM, as well as Enterprise Technology, & Operations . Issue Management Quality Assurance Director will be instrumental in establishing… more
- Publicis Groupe (New York, NY)
- …Markets operations , with a strong understanding of trading, settlement, regulatory reporting , and key industry integrations. The individual will serve ... Capital Markets operations covering trading, settlements, clearing, collateral, and regulatory reporting . + Partner with business stakeholders and technology… more