- Citigroup (New York, NY)
- …records and documentation are completed and updated + Appropriately assess risk when business decisions are made, demonstrating particular consideration for the ... firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying… more
- Citigroup (New York, NY)
- …to client, including solving complex client inquiries + Appropriately assess risk when business decisions are made, demonstrating particular consideration for the ... firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying… more
- TD Bank (New York, NY)
- …Understands and complies with TD Securities (USA) Policies, regulatory and compliance requirements, ensuring that transactions are fully documented and processed ... on the DCM team in New York + Demonstrates governance, control and risk management behaviors in alignment with TD policies and practices **Education & Experience:**… more
- JPMorgan Chase (New York, NY)
- …internal teams to resolve production, quality, and escalated client service or risk -related issues, always striving for operational excellence and a superior client ... and the firm. + Participate in projects focused on productivity improvements, compliance , and product enhancements, contributing to the ongoing evolution and success… more
- Mizuho Corporate Bank (New York, NY)
- …Debt Capital Markets, Equity Capital Markets, Financial Sponsors, Rates / Derivatives, Risk , etc. + Mentor, develop and train Analysts and Associates across the ... + Attend bank meetings, industry events, conferences, and seminars + Ensure compliance of all internal and external matters in accordance with banking regulations,… more
- Robert Half Legal (New York, NY)
- …SEC filings (Forms 144, 10-K, 10-Q, 8-K, S-8, etc.), stock issuance, tax compliance , and public disclosures. + Strategic Transactions: Lead legal aspects of mergers, ... including contract repository and templates tailored to business needs. + Risk Management: Oversee insurance portfolios, litigation, and external counsel management,… more
- Citigroup (New York, NY)
- …skills and negotiate with external parties as needed + Appropriately assess risk when business decisions are made, demonstrating particular consideration for the ... firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying… more
- MUFG (New York, NY)
- …to increase productivity, reduce costs, improve time management, and improve risk management. + Collaborate with stakeholders on developing standards, identifying, ... + Support knowledge and capability transfer to clients (as needed) + Ensure compliance with regulatory requirements and industry best practices in the deployment and… more
- SMBC (New York, NY)
- …our position in the market. + Understand external regulatory matters and internal compliance and policies and procedures; pro actively escalate operational risk ... loss events to management as necessary. + Delegate and review the work of junior members of the team and provide guidance and feedback. + Attend bank meetings, industry events, conferences and seminars in order to keep abreast of industry trends and… more
- JPMorgan Chase (New York, NY)
- …Drive execution engagement and optimize trading interaction with the internal Central Risk Book. + Define and lead product management initiatives across the ... as bespoke solutions. + Partner with business analysts, core technology, legal/ compliance , operations, and sales and trading teams to ensure product functionality… more