- TD Bank (New York, NY)
- …who can provide you more specific details for this role. **Job Description:** This VP Compliance role will be a key member of the TDS US Compliance Regulatory ... for detecting market abuse and manipulation. + Advanced understanding of testing or audit concepts and principles as well as control analysis and evaluation. +… more
- JPMorgan Chase (New York, NY)
- …the Line of Business (LOB), global and regional Compliance teams, Internal Audit , Operational Risk, Control, and other functions. The candidate should possess ... expertise in Compliance and a strong understanding of regulatory, audit , and related best practices. The responsibilities include supporting the Asset Management… more
- MUFG (New York, NY)
- …with various stakeholders in registering / opening data issues (Self Identified / Audit / Compliance) + Work closely with Auditors and other Control personnel to ... determine MSIIs / audit points. Assist the broker dealer entity in correctly...overall experience, with hands-on proven experience in data management, Audit and Issues management and Data Governance + Strong… more
- JPMorgan Chase (New York, NY)
- …with Line of Business (LOB) and global/regional Compliance teams, including Internal Audit , Operational Risk, and other Control functions, as well as Legal and ... knowledge and experience in Compliance, along with familiarity with regulatory and audit best practices. Additionally, you will serve as an independent second line… more
- Citigroup (New York, NY)
- …for deal post-closing amendment, consent and waiver requests. + Coordinate with the Audit manager and senior Underwriters on audit related matters (eg, scope ... revisions, timely review); support senior Underwriters to follow up, negotiate and implement remedial actions with servicers for any major exceptions noted in the audits. + Maintain organized credit files for credit, regulatory, and compliance purposes. +… more
- Citigroup (Getzville, NY)
- …Action Plans (CAPs) and / or Risk Exceptions (REs). + Support Internal Audit reviews and/or internal Control reviews. + Assists with crisis management support during ... and workflow mapping. + 2+ years experience working with internal/external audit /regulatory groups is preferred. + Advanced project management, data analysis and… more
- Mizuho Corporate Bank (New York, NY)
- …for management providing updates on the operations controls, initiatives, procedures, audit findings, operational incidents and any relevant information related to ... degree + 10+ years of operations control, risk management, operations or audit experience desirable. + Highly motivated, self-directed individual with the ability to… more
- JPMorgan Chase (New York, NY)
- …skills** + 10+ years consumer regulatory compliance, supervision, controls, risk or audit experience + Minimum licensing requirement: FINRA Series 7 and Series 24 ... + Strong attention to detail + Strong background in alternative investments and marketing review + Familiarity with SEC and FINRA regulations on marketing + Financial services experience including a working knowledge of marketing and advertising practices and… more
- JPMorgan Chase (New York, NY)
- …products + Familiarity with business intelligence tools (ThoughtSpot, Tableau) to utilize audit reporting and build dashboards. + Good knowledge of key market data ... offerings such as Bloomberg, Refinitiv FXT/Eikon/Workspace, Factset etc. JPMorganChase, one of the oldest financial institutions, offers innovative financial solutions to millions of consumers, small businesses and many of the world's most prominent corporate,… more
- The Estee Lauder Companies (New York, NY)
- …engagement *Collaborate across departments: IR, Finance, Treasury, Tax, Internal Audit , Communications, HR, and Corp Citizenship & Sustainability to manage ... securities law compliance Proxy Statement *Lead prep/filing of the annual proxy statement, ensuring timely/accurate disclosures *Coordinate with cross-functional teams to compile and review relevant data/materials Corp Secretary Office Mgmt *Oversee daily… more