- Mizuho Corporate Bank (New York, NY)
- …across multiple partner applications and systems- Develop modernization roadmaps ensuring regulatory compliance continuity- Collaborate with Legal, Risk, ... related field- Cloud architecture certifications (Azure preferred)- Experience with compliance screening technologies and regulatory reporting systems-… more
- TD Bank (New York, NY)
- …are responsible for identifying and escalating potential market abuse alerts to Advisory Compliance and business supervisors. The incumbent will be responsible ... TD Securities, including Markets sales and trading leaders, Technology, Advisory Compliance , and Risk functions. The incumbent...Bank (GSIB), or the equivalent experience at a regulatory body (eg, leading a bank or… more
- Bank of America (Newport Beach, CA)
- …involved + Monitor advisor and client activity including financial transactions to ensure compliance with firm and regulatory requirements and minimize risk + ... life they envision through a personal relationship with their advisory team committed to their needs. We believe trust...Advisor (FA) business needs, while ensuring adherence to the bank 's compliance policies and procedures + Coaches… more
- Mizuho Corporate Bank (New York, NY)
- As the Vice President of Compliance AI Initiatives, you will play a pivotal role in shaping the future of AI risk management and compliance within our ... Department. You will oversee AI initiatives within the Compliance Department and work collaboratively with various Line of...control managers and lines of business for any Audit, Regulatory and Client AI requests. + Provide oversight and… more
- City National Bank (Los Angeles, CA)
- …and their impact on various investment vehicles.Comply with and conform to all compliance and regulatory requirements of all regulatory authorities and ... to day client support and operational service on all CNS Investment Advisory Program and client-directed accounts, to affluent individuals and their families within… more
- TD Bank (Marlton, NJ)
- …**Job Description:** The Principal Review Analyst is a FINRA and SEC regulatory supervisory principal position with the Central Office of Supervisory Jurisdiction ... (OSJ). This job 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
- City National Bank (Los Angeles, CA)
- …regulations and CNS policies and procedures. * Comply with and conform to all compliance and regulatory requirements of all regulatory authorities and of ... Adheres to CNS and CNB policies and procedures as well as all regulatory requirements and provides direction to staff members. Reviews and approves CNS written… more
- TD Bank (Mount Laurel, NJ)
- …that US financial results are prepared in accordance with US GAAP and regulatory requirements. This involves providing financial accounting advisory support to ... will be responsible for providing timely and accurate technical accounting advisory services to stakeholders (including lines of business, Credit, Treasury, etc.)… more
- Bank of America (Miami, FL)
- …day-to-day Financial Advisor (FA) business needs, while ensuring adherence to the bank 's compliance policies and procedures * Coaches FAs, Client Associates ... life they envision through a personal relationship with their advisory team committed to their needs. We believe trust...insights of Merrill coupled with the banking convenience of Bank of America. At Merrill, we empower you to… more
- Bank of America (San Francisco, CA)
- …clients pursue the life they envision through a personal relationship with their advisory team committed to their needs. We believe trust comes from transparency. ... Our trusted advisory teams are equipped with access to the investment...insights of Merrill coupled with the banking convenience of Bank of America. Merrill is committed to an in-office… more