- Wells Fargo (New York, NY)
- …+ Design and maintain frameworks to manage trading risk and ensure compliance with internal and regulatory standards. + Monitor live algorithm behavior, detect ... multi-faceted situations requiring understanding of the function, policies, procedures and compliance requirements that influence and lead broader work team to meet… more
- Wells Fargo (New York, NY)
- …modeling to ensure accurate and timely monitoring, risk ratings, covenant compliance , watchlist updates, recognition of potential problems loans of leveraged credit ... + Lead coordination and execution of loan booking, closing, legal documentation, compliance requirements, and final credit memos + Partner with senior banker to… more
- Wells Fargo (New York, NY)
- …multi-faceted situations requiring understanding of the function, policies, procedures and compliance requirements that influence and lead broader work team to meet ... screening and are required to report certain incidents. + Specific compliance policies may apply regarding outside activities or personal investing; affected… more
- MUFG (New York, NY)
- …of Terraform for Infrastructure as Code, and a commitment to automation, compliance , and reliability. The ideal candidate is capable of independently building and ... provisioning, testing, and deployment of infrastructure. + Integrate policy-as-code, compliance scanning, and automated guardrails into all deployment workflows.… more
- Citigroup (Queens, NY)
- …controls reporting standards and procedures to ensure their effectiveness and compliance with regulatory requirements. + Support regular updates to senior management ... in alignment with organizational goals and governance standards. + Support compliance with governance standards and regulatory requirements related to committee… more
- MUFG (New York, NY)
- …transactions, and related products. This role ensures operational accuracy, regulatory compliance , and timely execution of closing and post-closing activities, while ... Salesforce and coordinate CHUB profile creation. + Liaise with Sponsor Coverage and Compliance for MNPI forms and monitoring. + Coordinate with KYC and Closing teams… more
- SMBC (New York, NY)
- …align with organizational objectives and meet established standards for performance, compliance , and risk management. A key responsibility of this position is ... Coordinate the onboarding process for new vendors, including risk assessments, and compliance reviews. + Ensure all vendors meet internal policies and regulatory… more
- SMBC (New York, NY)
- …distributions, etc. Follow up on delivery of Borrower's reporting requirements (ie compliance items) Review compliance documents submitted by borrowers for ... completeness and satisfaction of requirements in loan documents Distribute compliance items and other documentation to lender groups using DebtDomain, e-mail, etc.… more
- JPMorgan Chase (New York, NY)
- …across multiple lines of business and regions. **Job responsibilities** + Collaborate with Compliance and Legal teams in order to help ensure adherence to SEC, FINRA ... Organization. + Attend live client calls and filmed webcasts to help ensure compliance with rules, regulations and polices + Work with Technology partners and MRC… more
- Citigroup (Getzville, NY)
- …escalate, and manage risk exposures across Risk Categories (Operational Compliance , Strategic, Reputational, etc), including material, emerging and concentration ... + Take ownership to identify, assess, record and response to Operational and Compliance Risk events, ensuring these are captured accurately, timely and in accordance… more