- Mizuho Corporate Bank (New York, NY)
- …and experienced Senior Line Manager to lead our Infrastructure Governance, Risk, and Compliance (GRC) team. This role is pivotal in transforming our GRC function to ... and tools that streamline audit preparation and execution Governance and Compliance : + Ensure compliance with regulatory requirements, industry standards,… more
- JPMorgan Chase (New York, NY)
- …Group will require interface with key partner constituencies, in particular risk, compliance , legal, and other internal control functions, as you research, develop, ... the DR book * Work closely with legal and compliance resources to analyze and review new regulations and...Product Management or similar role * Familiarity with Equities trading , Operations, and Custody product * Experience in managing… more
- Scotiabank (New York, NY)
- …financing, mergers & acquisitions, corporate banking, institutional equity sales, trading and research, fixed income products, derivatives, energy, foreign exchange ... business strategies and objectives. Ensures all activities conducted are in compliance with governing regulations, internal policies and procedures. What You'll Do:… more
- KeyBank (Albany, NY)
- …events, meetings and presentations. *Conduct supervisory principal review of all trading activity *Conduct supervisory principal review of all annuity & insurance ... complaints received for the territories he/she supports, and work with KIS Compliance , KIS registered representatives and Sales Leaders in a collaborative nature to… more
- Mizuho Corporate Bank (New York, NY)
- …risk appetites. + Collaborate with operational resilience pillars to assess compliance with established capability baselines and risk thresholds. + Monitor key ... the broader program to identify areas for continuous improvement. + Ensure compliance with applicable regulatory requirements and serve as a liaison with internal… more
- Scotiabank (New York, NY)
- …financing, mergers & acquisitions, corporate banking, institutional equity sales, trading and research, fixed income products, derivatives, energy, foreign exchange ... including IP protections, cybersecurity, data privacy, artificial intelligence and regulatory compliance in the context of financial services. + Supports various… more
- JPMorgan Chase (New York, NY)
- …aspects of the capital markets by working closely with our sales and trading , underwriting, derivatives, and debt capital markets desks for prospective and live ... execution process with junior team members while ensuring regulatory and compliance duties are achieved. **Job responsibilities:** + Create business development… more
- BlackRock (New York, NY)
- …PMs and their teams, Risk & Quantitative Analysis, Product Strategy, Compliance , and Operations. Your responsibilities: * Portfolio Management: Sizing and allocating ... handling the securitized portion of portfolio flows, ensuring guideline compliance . * Product Expertise: Understand the fundamental stories, structural features,… more
- JPMorgan Chase (New York, NY)
- Bring your expertise to JPMorgan Chase. As part of Risk Management and Compliance , you are at the center of keeping JPMorgan Chase strong and resilient. You help the ... customers, and communities. Our culture in Risk Management and Compliance is all about thinking outside the box, challenging...manages risk by country to help guide the firm's trading , funding, doing credit analysis, and credit extension in… more
- Scotiabank (New York, NY)
- …financing, mergers & acquisitions, corporate banking, institutional equity sales, trading and research, fixed income products, derivatives, energy, foreign exchange ... 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