- JPMorgan Chase (New York, NY)
- …the Broker-Dealer & Cash Equities Legal group , you will provide legal and regulatory advice to the cash equities research, sales and trading businesses. You will ... including the US Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA) and other Self- regulatory organizations (SRO's), in… more
- SMBC (New York, NY)
- …part of SMBC Americas' strategy to build a commercially competitive, US regulatory -based Commercial and Investment Bank, SMBC Americas Division has launched an ... understanding of data management principles, and the ability to navigate complex regulatory and control environments. The role will manage end-to-end delivery for… more
- JPMorgan Chase (New York, NY)
- …need to have experience in Compliance, as well as familiarity with regulatory best practices. **Job Responsibilities** + Identify compliance and conduct risks ... issue management of compliance and conduct risks. + Collaborate with legal, regulatory engagement, the business and other control functions to gather information and… more
- MUFG (New York, NY)
- …in the context of business/market events; + Ensure adherence to relevant regulatory requirements and accounting standards; + Documentation of control activities and ... close working relationships with Front Office, Operations, Risk, Audit, Compliance and Regulatory departments to ensure needs and regulations are met. **Controls &… more
- MUFG (New York, NY)
- …more details. Our ideal candidate will possess a strong understanding of regulatory compliance, risk management, and business operations. This role requires someone ... and able to effectively communicate with various stakeholders. + Assess regulatory /compliance controls related to areas of coverage. This would include providing… more
- MUFG (New York, NY)
- …+ Familiarity with the Sound Practices to Operational Resilience, and ensure all regulatory requirements (eg FFIEC, OCC, FRB) are being adhered to + Propose ... response + Facilitate integration of second line frameworks, policies, standards and regulatory requirements + Provide support for internal audits and regulatory … more
- JPMorgan Chase (New York, NY)
- …the business strategy to respond to market structure, industry, client and regulatory change. **Job Responsibilities:** + Interact with CCPs to understand their ... Development, Legal and Compliance monitor and assess changes in the US regulatory landscape, including through industry bodies and JPM reg affairs engagement, and… more
- TD Bank (New York, NY)
- …Focuses on short to mid- range planning (eg 6-12 months) + Manages regulatory reviews including inquiries, audits, and exams **Education & Experience:** + Bachelors ... organization. + JD desirable but not required + Knowledge of operations, finance, regulatory reporting, sales and trading, at a global financial institution. + Firm… more
- MUFG (New York, NY)
- …ratings. + Staying current on changes and potential changes in the sector and regulatory developments is an important part of your job. + Coordinate and communicate ... credit costs. (3) Policy Compliance + Ensure compliance with external regulatory /internal policy and procedural requirements. + Participate in ad-hoc policy meetings… more
- BlackRock (New York, NY)
- …matters, including but not limited to latest market practice, regulatory changes, proxy changes/enhancements. + Co-Lead planning, preparation, and distribution ... of the Board of Directors + Help prepare relevant regulatory filings such as the CD&A section of the...the proxy statement. + Gather and help prepare relevant regulatory filings and reporting information such as the CD&A… more