- City National Bank (New York, NY)
- …* Assist with regulatory filings such as Form ADV and CFTC reporting . * Provide guidance and coaching to colleagues on interpretation and application of ... *COMPLIANCE OFFICER SENIOR -REGISTERED INVESTMENT ADVISOR* *WHAT IS THE OPPORTUNITY?* The...and be accustomed to working with deadlines. * Certified Regulatory Compliance Manager (CRCM), Certified Internal Auditor… more
- TD Bank (New York, NY)
- …issues and help implement controls to prevent recurrence, and enhance reporting mechanisms for senior management. + Stakeholder Engagement: Collaborate ... Technology on surveillance data quality issues. Support the Data Quality Director in reporting on data quality issues. The Senior Compliance Office provides… more
- Wells Fargo (New York, NY)
- …all levels of reporting ; * Advanced knowledge of Financial Conduct Authority Senior Manager Regime; * Expertise with legal entity structures within US and ... crimes, information security, interest rate, liquidity, market, model, operational, regulatory compliance, reputation, strategic, and technology risk. The group… more
- TD Bank (New York, NY)
- …Collaboration: Partner with technology, operations, and client-facing teams to ensure reporting capabilities meet both business requirements and regulatory ... leader at the Vice President level to drive the development of our customer reporting strategy and platforms within Transaction Banking. This role will be central in… more
- TD Bank (New York, NY)
- …process and handle confidential information with discretion. Generally, reports to an Audit Group Manager or Senior Audit Group Manager role. MUST HAVE: 1.) ... specific details for this role. **Line of Business:** Audit **Job Description:** The Senior Auditor is responsible to perform and document audit test steps for… more
- TD Bank (New York, NY)
- … Senior Treasury Liquidity Analyst maintains, enhances, and develops reporting processes, control frameworks, and/or systems. Daily activities involve providing ... leadership, direction, and necessary quality assurance checks regarding liquidity reporting and all relevant investor and/or regulatory requests. This role… more
- Wellington (New York, NY)
- …perspectives with those of our clients. **About the Role** The Senior Compliance Analyst will support Wellington Management's Global Private Investments Compliance ... to candidates in Boston, New York and Chicago. The Senior Compliance Analyst will be a member of the...firm's "public-side" investment platform + Assist with providing timely regulatory advice to investment, business and infrastructure teams, on… more
- Neuberger Berman (New York, NY)
- …applications, updating licenses, overseeing terminations, state registrations, and related regulatory reporting . **Key Responsibilities:** + Review and complete ... Neuberger Berman is looking for a Senior Registration Analyst to join our Legal and...processing of registration information to ensure compliance with US regulatory requirements. This role involves supporting new hires and… more
- TD Bank (New York, NY)
- …related regulatory requirements + Develops testing documentation and results reporting in-line with testing requirements + Understands the use of controls for ... procedures, and expectations or non-compliance with key laws and regulatory requirements. Testing teams implement consistent and standardized testing methodology… more
- M&T Bank (Buffalo, NY)
- …problems, addressing and assisting in the investigation of employee and regulatory complaints, coaching managers and employees to achieve resolution of issues ... ER solutions, on a day-to-day and project-focused basis, through consulting with senior leaders, managers and employees on significantly complex issues relating to… more
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