- BlackRock (New York, NY)
- …and special projects. + Conduct research and draft comments on various regulatory proposals and consultations. + Draft and negotiate service provider, intermediary ... contracts. + Draft and update SEC registration statements and other regulatory documents and shareholder communications. + Collaborate with the compliance function,… more
- JPMorgan Chase (New York, NY)
- …+ Provide real-time advice and challenge to business management and staff on regulatory and compliance issues + Conduct "second line" monitoring of businesses + ... Assist in preparing responses to regulatory inquiries and examinations from the SEC, FINRA, OCC,...Draft and implement compliance policies and procedures + Monitor regulatory developments, participate in industry groups, and assist in… more
- Citigroup (Tampa, FL)
- …ensures operationalization of all relevant policies, standards, procedures, and regulatory obligations, while providing oversight governance and strategic influence ... record of delivering timely compliance and quality assurance in a regulatory or risk management environment within the Financial Services/Investment Banking… more
- JPMorgan Chase (Plano, TX)
- …and services to effectively tailor collateral to specific markets + Communicates regulatory guidelines to Product Managers to ensure our products meet risk and ... on the available standards, methods, tools, and applications relevant to the regulatory environment to ensure our products meet all necessary risk and compliance… more
- MUFG (Los Angeles, CA)
- …perform credit control duties. Policy Compliance (5%) + Ensure compliance with external regulatory requirements (JFSA, BOJ, FRB, OCC). + Ensure adherence to all bank ... policies and procedures relative to Regulatory Compliance including but not limited to the Bank...with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA).… more
- JPMorgan Chase (Wilmington, DE)
- …to keep the fair lending compliance program aligned with industry and regulatory standards. + Create model documentation; work with Control, Audit and Model ... relevant policies & procedures and representing fair lending in regulatory exams, audits and other areas related to internal...( eg , OCC, CFPB) or other similar government regulatory or enforcement agencies with knowledge of how consumer… more
- Citigroup (Tampa, FL)
- …key stakeholders, as applicable. + Support internal and external audits and regulatory examinations, as applicable. + Report and escalate significant risk issues and ... + Proficiency in operational risk management frameworks, industry standards, regulatory requirements, and risk mitigation practices. + Demonstrated leadership in… more
- Citigroup (New York, NY)
- …+ Work closely with Sales, Traders, Business Managers to identify Market Trends, Regulatory Landscape, create a product vision roadmap for supporting them in Citi ... product releases, tracking business priorities, investment tracking and incorporating regulatory and compliance requirements + Manages the end-to-end product… more
- MUFG (Tempe, AZ)
- …and manage DSPM tools to enhance data protection and compliance with regulatory requirements + Collaborate with various stakeholders to ensure the alignment of ... + Ability to implement adaptive security measures based on data sensitivity and regulatory requirements + Proficiency in using DSPM tools to gain visibility into… more
- University of Rochester (Rochester, NY)
- …Representing OHSP and the University of Rochester as a liaison with regulatory agencies, accrediting bodies (as applicable), and funding agencies. Ensuring HIPAA ... 10 years of directly relevant experience with human research compliance, regulatory compliance, and/or IRB administration, or equivalent combination of education and… more