- TD Bank (New York, NY)
- …of a new conflict management systems and tools, ensuring alignment with regulatory expectations and business needs. + Partner with technology teams and project ... legal and compliance stakeholders on complex conflict scenarios. + Monitor regulatory developments and industry best practices to ensure the firm's conflict… more
- Mizuho Corporate Bank (New York, NY)
- …posture. The head of Business continuity will lead the BCP operations, the regulatory inquiries as well as the strategic initiatives. In this role you will ... all business continuity activities are robust, well-assessed, and aligned with regulatory expectations and industry best practices. This role, critical part of… more
- American Express (Phoenix, AZ)
- …in a safe, sound and fully compliant manner within all applicable regulatory expectations. We create and maintain the overall risk management framework while ... ensuring legal and regulatory compliance. Our culture in Global Risk & Compliance...means caring for you and your loved ones' physical, financial , and mental health, as well as providing the… more
- SMBC (New York, NY)
- SMBC Group is a top-tier global financial group. Headquartered in Tokyo and with a 400-year history, SMBC Group offers a diverse range of financial services, ... 80,000 employees worldwide in nearly 40 countries. Sumitomo Mitsui Financial Group, Inc. (SMFG) is the holding company of...group within SMBC Nikko Securities Inc. serves as a regulatory advisory function to the President and is responsible… more
- The Brattle Group (San Francisco, CA)
- …expert reports and presentations, helping our experts present complex economic and financial concepts clearly in legal and regulatory contexts. + **Collaborating ... authorization. **THE EMPLOYER** The Brattle Group answers complex economic, finance, and regulatory questions for corporations, law firms, and governments around… more
- Main Street Bank (Marlborough, MA)
- …credit, and construction loans, ensuring compliance with investor, portfolio, and regulatory guidelines. + Conduct thorough evaluation of loan applications and ... packages for approval as required; ensure all documentation meets investor and regulatory standards for saleability and compliance. + Issue commitment and adverse… more
- New York Power Authority (White Plains, NY)
- …including identifying new project opportunities, and assessing feasibility of technical, financial , and regulatory aspects, and ensure alignment with NYPA's ... of regulatory and statutory requirements, including NYS Public Service Law for transmission line and generation construction, stream, wetland, and stormwater… more
- Lincoln Financial (Philadelphia, PA)
- …Bar in good standing is required Experience + 12+ Years attorney preferably either at a law firm or financial services company + 1+ 3 Years of Insurance, and AI ... business units/functions to support innovation while managing legal risk and regulatory compliance. **Ideal Candidate:** + A combination of legal expertise,… more
- The Estee Lauder Companies (New York, NY)
- …and follow-up actions between the Board, exec leadership, stakeholders Securities Law Compliance *Provide legal counsel on SEC reporting and disclosure obligations ... Audit, Communications, HR, and Corp Citizenship & Sustainability to manage securities law compliance Proxy Statement *Lead prep/filing of the annual proxy statement,… more
- US Bank (New York, NY)
- …one jurisdiction required + 15+ years of experience as an attorney in a law firm, regulatory authority and/or as in-house counsel supporting capital markets ... and businesses we serve to make better and smarter financial decisions and enabling the communities we support to...at-all from Day One. **Job Description** The US Bank Law Division is seeking an attorney to lead the… more