- Citigroup (New York, NY)
- …Responsibilities _:_ + Responsible for the engagement strategy and execution and the regulatory exam management execution and oversight across Capital ... The Regulatory Engagement and Exam Officer...implications across Citi wide activities. + Partner with Business/Function Regulatory Management Teams to share best practices,… more
- Citigroup (Jersey City, NJ)
- Serves as a risk officer for Independent Compliance Risk Management (ICRM)'s Exam Management and Regulatory Liaison Office responsible for the ... preferred_ **Job Family Group:** Compliance and Control **Job Family:** Regulatory Liaison & Exam Management **Time Type:** Full time **Primary Location:**… more
- Citigroup (New York, NY)
- Serves as a risk officer for Independent Compliance Risk Management (ICRM)'s Exam Management and Regulatory Liaison Office responsible for the ... requests. **Job Family Group:** Compliance and Control **Job Family:** Regulatory Liaison & Exam Management **Time Type:** Full time **Primary Location:**… more
- Citigroup (New York, NY)
- …engaged on upcoming activities. + Maintain team guidelines on best practices for regulatory exam management , presentations, and submissions to drive ... to strengthen regulatory relations; + Produce thematic summaries to Senior Management on regulatory interactions and developments to provide insight and… more
- City National Bank (New York, NY)
- …Services Auditor (CFSA) designation a plus. + Experience communicating and interacting with regulatory agencies, including exam management and other ... **COMPLIANCE OFFICER SENIOR** **WHAT IS THE OPPORTUNITY?** The Senior...controls are in place to mitigate compliance risk. Maintaining regulatory change management , policies and procedures, training,… more
- Wellington (New York, NY)
- …tools, and assist with enhancing and maintaining team recordkeeping practices + Support regulatory inquiry and exam management in relation to Wellington's ... **About Us** **Wellington Management ** offers comprehensive investment management capabilities...the role is to work with the Chief Compliance Officer to build-out, manage and execute the compliance infrastructure… more
- SMBC (New York, NY)
- …employees. **Role Description** SMBC Credit Review Department (CRVD) seeks a Credit Review Officer . As a Credit Review member of CRVD, the individual will be part ... ratings while assessing adherence with documented processes, methodologies as well as regulatory requirements. The group reports to the Audit Committee of the Board… more
- City of New York (New York, NY)
- …history. This investment, coupled with a commitment to reduce administrative and regulatory barriers, is a multi-pronged strategy to tackle New York City's complex ... for HPD Tech, you will be responsible for the management and establishment of schedules for all tech projects....to work under executive direction of the Chief Information Officer , with a wide degree of latitude for independent… more
- City National Bank (New York, NY)
- …Services Auditor (CFSA) designation a plus. + Experience communicating and interacting with regulatory agencies, including exam management and other ... closed in a manner which both adheres to the regulatory requirements and ensures business continuity. **What you will...and regulations. + Assist the Compliance Manager, Senior Compliance Officer , and Risk Assessment team with the evaluation of… more
- City of New York (New York, NY)
- …history. This investment, coupled with a commitment to reduce administrative and regulatory barriers, is a multi-pronged strategy to tackle New York City's complex ... requirements. - Work closely with the Chief Enterprise Architect, Chief Security officer to help deliver the technology vision and technology strategy. - Collaborate… more
- Wellington (New York, NY)
- …including revising and drafting of applicable policies and procedures + Support regulatory inquiry and exam management , as appropriate Qualifications ... **About Us** **Wellington Management ** offers comprehensive investment management capabilities...& Risk Group and will report to a Compliance Officer based in our Boston office, working closely with… more
- Ankura (New York, NY)
- …internal controls, and systems processes; + Prepare compliance reports for Compliance Officer , Senior Management , and/or Board; + Assist clients with ... + Serve as lead contact for Client engagements including delegation of duties and project management ; + Serve as Subject matter Expert in the fields of AML / BSA /… more
- Citigroup (New York, NY)
- …Overview** The team is part of the first line of defense Controls & Regulatory Management and is responsible for ensuring proactive, effective and sustainable ... Drive the execution of TTS first line Controls & Regulatory Management and Financial Crimes Risk strategic...in place. + Act as the Business Sanctions Risk Officer 's delegate, leading complex sanctions projects end to end… more
- Morgan Stanley (New York, NY)
- …positions in each of its business segments- Institutional Securities, Wealth Management , and Investment Management . Morgan Stanley, through its subsidiaries ... governments, financial institutions, and ultra-high net worth clients. Wealth Management provides a comprehensive array of financial services and solutions… more