- Wells Fargo (New York, NY)
- …completion and clearing of a background check. Internal transfers are subject to compliance with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and ... screening and are required to report certain incidents. + Specific compliance policies may apply regarding outside activities or personal investing; affected… more
- JPMorgan Chase (Brooklyn, NY)
- …stakeholder groups, including CIB business units, other Lines of Business, and Compliance , to deliver a robust ABC governance framework. Your role involves ... maintaining and enhancing the ABC reporting framework, collaborating with Compliance , developing analytics, and guiding the evolution of ABC governance. **Job… more
- BlackRock (New York, NY)
- …the Private Markets Tax platform. This hire will help oversee tax compliance and advisory for the BlackRock's private markets investment platform supporting the ... Tax Role: + Lead and oversee the US tax compliance for certain private equity, secondaries and hedge fund-of-funds,...the global private equity, secondaries and hedge fund-of-funds tax compliance alongside the EMEA & APAC Private Markets tax… more
- Citigroup (Getzville, NY)
- …which is responsible for executing daily controls to mitigate the inherent risk of non- compliance with the SEC's Client Asset Protection rule (15c3-3), a Tier 2 US ... strength of the internal control framework (known as the 17a-5 Annual Compliance Report). Internally, this role regularly interfaces with NY-based Markets businesses… more
- MUFG (New York, NY)
- …+ Maintain close working relationships with Front Office, Operations, Risk, Audit, Compliance and Regulatory departments to ensure needs and regulations are met. ... **Controls & Compliance ** + Ensure compliance with the Firm's internal risk and compliance requirements, controls and procedures including but not limited… more
- BlackRock (New York, NY)
- …agreements. + Communicate regularly with business stakeholders regarding legal, compliance , and operational considerations. + Coordinate with external counsel on ... regulatory matters. + Collaborate with colleagues across BlackRock's Legal & Compliance department. Qualifications + Juris Doctor (JD) from a nationally recognized… more
- Citigroup (New York, NY)
- …of clients, ensuring the appropriate "Know Your Client" (KYC) and other compliance deliverables are met; + Identifies cross-sell opportunities to deepen and increase ... ensuring the proper application of policies and institutional processes + Ensures compliance with regulatory requirements and Citi's policies / guidelines at all… more
- SMBC (New York, NY)
- …issues to the right stakeholders at the right time. + Partner with Compliance , Risk, Audit, and Technology teams to ensure program objectives align with regulatory ... regulatory and industry standards such as BCBS 239, GDPR, or OCC/SEC data compliance expectations. + Prior experience implementing data tools or platforms is a plus.… more
- Citigroup (Getzville, NY)
- …for reviewing that the policy documents across the firm are in compliance with the minimum requirements of the Operational Risk Management team. **Responsibilities** ... firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying… more
- BlackRock (New York, NY)
- …will also work closely with other teams within BlackRock's Legal & Compliance department. **Responsibilities:** + Provide legal advice and counsel on matters related ... other regulatory documents and shareholder communications. + Collaborate with the compliance function, including the enhancement of internal policies and procedures… more