- MUFG (New York, NY)
- …roadmap to ensure measurable growth and development are achieved. + Actively ensures compliance with the Bank's Business Standards of Conduct and all Patriot Act, ... and suspicious activity reporting requirements, and other regulatory and compliance policies and procedures. Successfully completes all requisite corporate and… more
- JPMorgan Chase (Clifton Park, NY)
- …within established risk parameters/tolerances and meet internal/external risk and compliance obligations, including completion of required training. + High school ... degree, GED, or foreign equivalent. + The Securities Industry Essential (SIE) exam, FINRA Series 6, state...continued employment in this position would be contingent upon compliance with Truth in Lending Act/Dodd Frank Loan Originator… more
- MUFG (New York, NY)
- …via phone, video or occasionally in-person. + Stay abreast of and maintain compliance with all internal existing and amended policies and procedures + Participate in ... within the risk appetite of the Bank. + Ensure compliance with internal policy and procedural requirements by understanding...a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2)… more
- MUFG (New York, NY)
- …credit divisions. + Maintain direct communication with assigned customers. + Ensure compliance with policy and regulatory requirements (eg, ACR, AOA, FSA, OCC, and ... pertinent to making a decision with little support from management. **Policy Compliance :** + Ensure compliance with external regulatory/internal policy and… more
- Citigroup (New York, NY)
- …execution and alignment across the firm. + Meticulously monitor covenant compliance and proactively manage the post-execution lifecycle of transactions. + ... tools. + Work closely with control functions, including Legal, Compliance , Market and Credit Risk, Audit, and Finance, to...and the Plan of Supervision for Global Markets and Securities Services. + Safeguard Citi's reputation, clients, and assets… more
- Bank of America (New York, NY)
- …liquidity and interest rate risks, including price risk in the CFO managed securities portfolio. As the Chief Risk Officer (CRO) function covering the Chief ... and performing review and challenge of regulatory rule interpretations and rule compliance documentation + Develop and demonstrate acumen for the identification of… more
- Scotiabank (New York, NY)
- …and objectives. The incumbent will ensure all activities conducted are in compliance with governing regulations, internal policies and procedures. The goal is to ... business controls to meet obligations with respect to operational risk, regulatory compliance risk, AML/ATF risk and conduct risk, including but not limited to… more
- MUFG (New York, NY)
- …assigned portfolio utilizing internal and external sources. + Oversee covenants compliance database and facility closing due diligence, including documentation. + ... on both a transaction and group level. + Ensure compliance with policy and regulatory requirements. **Skills and Experience:**...a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2)… more
- MUFG (New York, NY)
- …agreements, and coordination of transaction documentation. + Coordinate with internal legal, compliance , and risk teams to ensure all transactions comply with bank ... memos for senior management. + Collaborate with credit, legal, risk, and compliance teams to address concerns and secure necessary approvals. + Ensure that… more
- MUFG (New York, NY)
- …and Cyber Security** **:** + Identify and assess risks related to compliance with privacy laws and regulations applicable to the financial services industry, ... state, and global laws related to data privacy, data security, and privacy compliance , including regulations and requirements, such as GDPR, CCPA/CPRA, etc. + Strong… more