- Broadview FCU (Albany, NY)
- …s risk management policies and strategies are consistent with regulatory guidance. Essential Job Functions/Responsibilities: General + Delivers leadership and ... risk policies, procedures, and controls comply with NCUA, FFIEC, and other regulatory guidelines. + Prepare risk reports and presentations for executive leadership,… more
- MUFG (New York, NY)
- …* Drive governance and ensure adherence to internal controls, audit, and regulatory standards. * Prepare and deliver performance reporting, KPIs, and strategic ... working in a global investment bank or trading environment. * Familiarity with regulatory frameworks (eg, Basel III, FRTB, Volcker Rule). * Knowledge of front-office… more
- MUFG (New York, NY)
- …Information Security and suspicious activity reporting requirements, and other regulatory and compliance policies and procedures. Successfully completes all ... not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA). The major… more
- Wells Fargo (New York, NY)
- …subject to statutory disqualification. Successful candidates must also meet ongoing regulatory requirements including additional screening and are required to report ... all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively following and adhering to applicable… more
- TD Bank (New York, NY)
- …economic information, and key industry developments, as well as internal policies and regulatory standards (as communicated by Compliance) at all times to assist in ... lines, corporate, and/or control functions and ensures alignment with enterprise and/or regulatory requirements + Maintains a culture of risk management and control,… more
- MUFG (New York, NY)
- …Information Security and suspicious activity reporting requirements, and other regulatory and compliance policies and procedures. Successfully completes all ... not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA). The major… more
- MUFG (New York, NY)
- …by Second Line of Defense (SLoD), Third Line of Defense (TLoD), or regulatory authority, and identify required resources for remediation. + Participate in ongoing ... not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA). The major… more
- MUFG (New York, NY)
- …with Banking and Syndicate for business development + Stay up to date with regulatory requirements and its impact on the business + Work closely with other asset ... not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA). The major… more
- Citigroup (New York, NY)
- …of data, controls and processes performed meet internal policies and regulatory requirements/expectations, via staff management. + Work with lines of business, ... + Comprehensive understanding and awareness of appropriate corporate and regulatory policies in relation to Lending **Education:** + Bachelor's/University degree,… more
- MUFG (New York, NY)
- …Information Security and suspicious activity reporting requirements, and other regulatory and compliance policies and procedures. Successfully completes all ... not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA). The major… more