- Guardian Life (Albany, NY)
- …Avenue Investment Advisory , you will conduct branch office inspections using risk -based testing methodologies to ensure compliance with FINRA Rule 3110 and, in ... insurance laws. The Lead Compliance Analyst is responsible for developing a risk -based plan for the branch office inspection, executing the plan, and delivering… more
- TD Bank (New York, NY)
- …or more areas of expertise + Anticipates emerging business trends and regulatory/ risk issues as a basis for recommending large-scale product, technical, functional ... capable of executing with excellence and in providing top tier advisory services **Education & Experience:** + Undergraduate degree; graduate degree preferred… more
- M&T Bank (Buffalo, NY)
- …**Department Description:** The Audit Division provides independent, objective assurance and advisory services designed to add value and improve the organization's ... disciplined approach to evaluating and improving the effectiveness of risk management, control, and governance processes. **Primary Responsibilities:** + Complete… more
- City National Bank (New York, NY)
- …laws and regulations, ensuring controls are in place to mitigate compliance risk . Maintaining regulatory change management, policies and procedures, training, and ... advisory matters for mortgage lending compliance. This role is...implement corrective actions or procedural changes, and applying a risk -based approach. WHAT WILL YOU DO? * Serve as… more
- TD Bank (New York, NY)
- …that focuses on competitive product functionality, operational effectiveness, effective risk management and strong financial performance. Other key responsibilities ... enterprise, business, regulatory and industry levels + Senior specialist providing advisory services to executives, business segment leaders and governs the… more
- Janus Henderson Investors (New York, NY)
- …second liens, and HELOCs. This role requires expertise in loan-level modeling, risk measurement and management, and market analysis to optimize trading strategies ... teams to ensure successful execution of trading strategies. + Risk Management: Coordinate with risk management to...willing to adhere to the provisions of our Investment Advisory Code of Ethics related to personal securities activities… more
- Mizuho Corporate Bank (New York, NY)
- …configuration settings and thresholds values while consideration AML and OFAC Risk Assessments. + Conduct periodic Productivity Assessments to evaluate the continued ... current risks. + Overseeing the annual 504 Certifications process by reviewing risk assessments and validations of the models according to NYDFS 504 requirements… more
- Mizuho Corporate Bank (New York, NY)
- …credit applications. + Provides effective analysis of credit including, financial structure, risk return, collateral risk profile, and identification of key ... management. + Thoroughly analyzes and recommends appropriate Borrower exposure to maximize risk return. + Recommends appropriate risk rating for each… more
- Bank of America (Katonah, NY)
- …service providers based on client needs and asset thresholds * Mitigates and controls risk as part of daily activities * Identifies and engages potential new clients ... * Monday - Fridays and rotating Saturdays **Skills:** * Advisory * Account Management * Client Experience Branding *...Management * Active Listening * Attention to Detail * Risk Management * Policies, Procedures, and Guidelines * Client… more
- BlackRock (New York, NY)
- …nearshoring, and other strategic sourcing programs. **Principal duties include:** + Strategic Advisory : Serve as a strategic advisor to all levels of management on ... chain, and prepare PowerPoint decks to support informed sourcing decision-making + Risk Management: Identify potential risks within the supply chain and develop… more