- The Estee Lauder Companies (New York, NY)
- …of Corp Secretary's office, including maintenance of corporate records and regulatory filings *Establish/enhance internal processes to support legal compliance and ... and pre-closing requirements *Support post-closing integration (intellectual property transfers, regulatory updates, resolution of matters from due diligence or that… more
- MUFG (New York, NY)
- …with documented results that adhere to methodology, applicable standards and regulatory requirements, using appropriate business and technical language. + Document ... that meet objectives and standards of methodology, applicable standards and regulatory requirements. **Skills and Experience:** + A Bachelor's degree, preferably in… more
- Arena Investors LP (Jacksonville, FL)
- …. Support front, middle and back-office personnel on a wide variety of regulatory compliance issues primarily in compliance with the Investment Advisers Act of 1940; ... blotter, trade errors, best execution, allocation, principal/cross trades, etc.); . Regulatory filings oversight/co-ordination (eg Form ADV, Form PF, Form 13F, Form… more
- Centene Corporation (New York, NY)
- …who changes everything for our 28 million members. **Position Purpose:** Ensure regulatory compliance with state and other government agencies related to the health ... in compliance with state and federal program regulations, insurance regulations, regulatory requirements for business entities and state contract requirements. +… more
- TD Bank (New York, NY)
- …Focuses on short to mid- range planning (eg 6-12 months) + Manages regulatory reviews including inquiries, audits, and exams **Education & Experience:** + Bachelors ... organization. + JD desirable but not required + Knowledge of operations, finance, regulatory reporting, sales and trading, at a global financial institution. + Firm… more
- MUFG (Tempe, AZ)
- …Framework, etc) and experience with enforcement agencies oversight activities ( regulatory examinations, matters requiring attention (MRAs), consent orders, etc.) ... control assessments, and designing/executing test scripts + Understanding of the regulatory environment and regulations related to operational risk, and Office of… more
- MUFG (Tampa, FL)
- …changes. + Staying current on changes and potential changes in the sector and regulatory developments is an important part of your job + Coordinate and communicate ... assignments and projects as required. + Ensure compliance with external regulatory /internal policy and procedural requirements + Participate in ad-hoc policy… more
- MUFG (New York, NY)
- …products with a deep understanding of Liquidity Risk and EPS regulatory requirements. **Major Responsibilities:** + Conduct the review of liquidity management ... liquidity risk management and key stakeholders + Monitor developments in regulatory guidelines, interpret the requirements, and implement compliant solutions +… more
- MUFG (Tampa, FL)
- …professionals to provide guidance and support to operational, business and regulatory teams and will perform expert level database security incident response ... to demonstrate and provide evidence of security controls are adherence to regulatory compliance. + Executing and enhancing monitoring systems used to detect and… more
- MUFG (New York, NY)
- …ratings + Staying current on changes and potential changes in the sector and regulatory developments is an important part of your job + Coordinate and communicate ... credit costs. (3) Policy Compliance + Ensure compliance with external regulatory /internal policy and procedural requirements + Participate in ad-hoc policy meetings… more