- TD Bank (Greenville, SC)
- …**Job Description:** The Central Supervision Analyst is a FINRA and SEC regulatory supervisory principal position with the Central Office of Supervisory Jurisdiction ... (OSJ). This role assists in the regulatory oversight for TD Private Client Wealth, (TDPCW), a...TD Private Client Wealth, (TDPCW), a US registered Investment Advisory Service and a US Broker Dealer and TD… more
- Mizuho Corporate Bank (New York, NY)
- …and the broader program to identify areas for continuous improvement. + Ensure compliance with applicable regulatory requirements and serve as a liaison with ... Resilience Americas Department The Americas Operational Resilience Department enable the bank to effectively manage business threats and mitigate risk of… more
- Capital One (Mclean, VA)
- Manager, Technology Risk | Retail Bank **Job Description** Do you like working in the spotlight? Can you seamlessly build relationships, effectively tell stories, ... agility to adapt. **Responsibilities:** The TCDR team supporting the Bank Tech & Cyber Risk mission is a passionate...and remediation of risks while meeting the 2nd line compliance requirements for the well managed agenda + Advise… more
- Capital One (Mclean, VA)
- Senior Risk Associate | Retail Bank The **Controls Advisory and Testing (CAT)** team supporting the **Retail Risk MPG (Monitoring, Process, & Governance)** ... of risk professionals focused on enhancing the risk profile of our Retail Bank and Premium Products business through execution of mission-critical risk, process, and… more
- Mizuho Corporate Bank (New York, NY)
- … Compliance Department (ACD) manages compliance risk in the United States for Mizuho Bank Ltd. and its US subsidiary bank , Mizuho Bank (USA) and also ... support services to Mizuho Americas LLC, the US bank holding company for Mizuho Financial Group. Summary The...The successful candidate will join the centralized Financial Crime Compliance Quality Assurance (FCC QA) team within the Financial… more
- Flatirons Bank (Boulder, CO)
- …to enhance the client experience and maximize revenue opportunities. Risk Management & Regulatory Compliance + Educates clients on operational risks related to ... Provides general oversight on treasury management risk-related matters that may arise in Bank operations. + Ensures compliance with BSA and other banking… more
- Bank of America (Northbrook, IL)
- …day-to-day Financial Advisor (FA) business needs, while ensuring adherence to the bank 's compliance policies and procedures + Coaches FAs, Client Associates ... years of age.** Acknowledge (https://ghr.wd1.myworkdayjobs.com/Lateral-US/job/Northbrook/Market-Supervision-Manager Northbrook--IL\_25026794-2) **Job Description:** At Bank of America, we are guided by a common… more
- TD Bank (Portland, ME)
- …+ Ensures colleagues are knowledgeable; and assumes responsibility to minimize operational and regulatory risk by complying with Bank and industry Code of ... is also responsible for several materials provided to the Enterprise, including to the bank 's CFO and CEO, and to external stakeholders via the US Retail sections of… more
- Capital One (New York, NY)
- …consistency, and speed. + Strong risk management mindset with working knowledge of regulatory requirements relevant to the bank 's Broker Dealer (SEC / FINRA) ... Head of Product, Commercial Bank Capital Markets **Capital Markets | Head of...syndicate, derivatives (FX, Rates and Commodities) and corporate finance advisory . + Creative problem solver who provides thought leadership… more
- Bank of America (Cambridge, MA)
- …Kendall-Square\_25016599-2) **Job Description:** **Credit Solutions Advisor II** At Bank of America, we are guided by a common ... benefits to support their physical, emotional, and financial well-being. Bank of America believes both in the importance of...ethics and is thorough and thoughtful in incorporating relevant regulatory due diligence as well as complying with all… more