- HUB International (New York, NY)
- … compliance and operational SEC efficiencies to enhance the day-to-day SEC compliance program . **Responsibilities:** Compliance + Aid in the ... Compliance and Risk Officer, working closely with RPW senior leadership to collectively support the growing RPW business...which support Rule 206(4)-7. + Email surveillance / personal trade reviews / marketing material reviews + Develop and… more
- Aflac (New York, NY)
- …Office Suite (Excel, Access, PowerPoint, Word, Outlook) + Experience with any pre- trade compliance or portfolio management system (such as Bloomberg, Charles ... and limits. + Conduct daily review and monitoring of pre- trade and batch portfolio compliance alerts with...or policy requirements receive appropriate corrective action. + Provide compliance support to the due diligence program … more
- SMBC (New York, NY)
- …of Compliance Culture will oversee and lead the firm's Culture of Compliance program . This role includes the critical responsibility of managing the ... the three largest banking groups in Japan. SMFG's shares trade on the Tokyo, Nagoya, and New York (NYSE:...the development and execution of the centralized culture of compliance program , including the creation and maintenance… more
- TD Bank (New York, NY)
- …New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $185,000 - $225,000 USD TD is committed to providing fair ... Description:** We are looking for a Director, US Markets Compliance Advisory to join our team in New York...of the regulatory framework supporting businesses such as Global Trade Finance and Payments & Corporate Cash Management\. Such… more
- TD Bank (New York, NY)
- …capacity. The Vice President will assist in the management of the firms compliance program supporting all corporate investment banking Functions including Debt ... + Assist in the development and build out of a global Investment Banking Compliance program and Control Room across Canada, US, Europe and Asia Pacific.… more
- Guidehouse (New York, NY)
- **Job Family** **:** Risk & Regulatory Compliance Consulting **Travel Required** **:** Up to 50% **Clearance Required** **:** None **What You Will Do** **:** ... aggressive growth strategy for its Financial Crimes, Risk and Compliance (FCRC) practice, and now seeks to expand its...this growth strategy. This new hire will be a senior business builder with a high-profile personal network with… more
- TD Bank (New York, NY)
- …actions to senior management + Ensures all administration, control and compliance activities are complete and accurate to meet targets for own area + ... is a first line of defense team responsible for providing risk and compliance advice and oversight to ensure our TDS business partners have adequately considered,… more
- HSBC (New York, NY)
- …our investors, our communities and the planet we all share. As the world's largest trade finance bank in the world, HSBC's Global Trade Solutions (GTS) offers a ... comprehensive range of structured and traditional trade products such as supply chain finance, receivables/inventory finance, trade loans, letters of credit,… more
- SMBC (New York, NY)
- …Partner with Compliance , Risk, Audit, and Technology teams to ensure program objectives align with regulatory expectations and internal control standards. + Lead ... Group, which is one of the three largest banking groups in Japan. SMFG's shares trade on the Tokyo, Nagoya, and New York (NYSE: SMFG) stock exchanges. In the… more
- City of New York (New York, NY)
- …or other quantitative information to produce and update statistical reports for senior management review and analysis of program operations, performance, and ... analyzes patterns of errors to identify corrective changes in systems and program operations; reviews specific demographic and operational data to identify projects… more