- Truist (New York, NY)
- …business and regulatory change). + Provide oversight and support for open risk , audit, and regulatory issues. Evaluate the root cause, the corrective action ... unit's leadership regarding activities, trends, and events pertaining to risk , regulatory , and audit review activities. Promote...Master's degree in finance or equivalent science/academic field. + FINRA Series 79, 24 (may be required once on… more
- MUFG (New York, NY)
- …our recruitment team will provide more details. **Job Summary** : This is a quantitative risk manager role within the MUFG Americas' Risk Analytics Team ... documentation, performance monitoring, model enhancements, etc.) + Quantitative liaison for the regulatory reviews of market risk and valuation models +… more
- Scotiabank (New York, NY)
- Manager , Regulatory Relations Group **Requisition ID:** 219603 **Salary Range:** 90,000.00 - 167,200.00 _Please note that the Salary Range shown is a guideline ... business controls to meet obligations with respect to operational risk , regulatory compliance risk , AML/ATF...experience at a Financial Services Firm, Consulting Firm, or Regulatory agency such as the FRB, FINRA … more
- SMBC (New York, NY)
- …the business and risk management. You will support bank's climate-related financial risk regulatory reporting and disclosure to meet Federal & State ... regulatory expectations. You will work with leaders across risk disciplines and business units to develop climate-related financial risk management… more
- MUFG (New York, NY)
- …strong functional and technical understanding of banking products and data that feed into Risk and Regulatory Reports. This individual will also lead a small ... Liquidity Risk , Operational Risk , Compliance Risk , Reputation Risk , etc.) and Regulatory...with the background screening requirements of the Financial Industry Regulatory Authority ( FINRA ) and the National Futures… more
- MUFG (New York, NY)
- …do not conflict with the background screening requirements of the Financial Industry Regulatory Authority ( FINRA ) and the National Futures Association (NFA). The ... the primary contact with the Front Office Business and Risk /Underwriting teams. This role focuses on supporting the Structured...and potential changes in the sector and market or regulatory developments is an important element of this role.… more
- MUFG (New York, NY)
- … Risk Managers to support and enhance processes + Participate in audit and regulatory engagements + Work with Risk stripe lead, Technology and Data Officers ... do not conflict with the background screening requirements of the Financial Industry Regulatory Authority ( FINRA ) and the National Futures Association (NFA). The… more
- MUFG (New York, NY)
- …do not conflict with the background screening requirements of the Financial Industry Regulatory Authority ( FINRA ) and the National Futures Association (NFA). The ... + Perform due diligence and regularly scheduled reviews + Analyze credit risk of the designated portfolio, determine accurate ratings and make recommendations of… more
- SMBC (New York, NY)
- …of implemented changes. Drive successful delivery of projects to address regulatory requirements and enhance risk management capabilities within time, ... the overall strategic objectives. + Serves as the project manager for a set of risk initiatives...be permitted for certain roles, including, for example, certain FINRA -registered roles for which in-office attendance for the entire… more
- MUFG (New York, NY)
- …do not conflict with the background screening requirements of the Financial Industry Regulatory Authority ( FINRA ) and the National Futures Association (NFA). The ... and deliver credit training programs (on-site and virtually) to enhance credit risk analysis skills, product specific knowledge, and an understanding of the Bank's… more
- Raymond James Financial, Inc. (New York, NY)
- …of experience, education, and/or training. + Strong understanding of risk -related regulatory requirements (eg, OCC, FRB, FDIC, SEC, FINRA ) and ability to ... risk organization. + Ensure accurate and timely regulatory risk reporting and interface with ...Skills, and Abilities** **Knowledge of** + Federal Reserve, OCC, FINRA , SEC, and other relevant regulatory guidance… more
- Wells Fargo (New York, NY)
- …a hybrid work schedule + Obtaining and/or maintaining appropriate Financial Industry Regulatory Authority ( FINRA ) license(s) is required for ongoing employment ... customers and company. They are accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance),… more
- SMBC (New York, NY)
- …to ensure consistency in achieving industry best practices and in minimizing + regulatory risk . + Coordinate compliance regulatory examinations / inquiries ... + Escalate regulatory concerns and other significant matters to their manager . + Communicate policies, procedures and new regulatory requirements simply and… more
- MUFG (New York, NY)
- …do not conflict with the background screening requirements of the Financial Industry Regulatory Authority ( FINRA ) and the National Futures Association (NFA). The ... Perform due diligence and regularly scheduled credit reviews. + Analyze credit risk of the designated portfolio, determine accurate ratings and make recommendations… more
- MUFG (New York, NY)
- …do not conflict with the background screening requirements of the Financial Industry Regulatory Authority ( FINRA ) and the National Futures Association (NFA). The ... will provide more details. **Job Summary** **:** + Junior Corporate Credit Risk Professional supporting commercial lending & investment banking business primarily to… more
- JPMorgan Chase (New York, NY)
- …and internal audits impacting the Global T&E Business. + Act as the Legal Entity Risk Manager for Delaware and the Bahamas Trust entities. + Work with technology ... Bring your expertise to JPMorgan Chase. As part of Risk Management and Compliance, you are at the center...and best practices + Familiarity with OCC, SEC, and FINRA financial regulations, especially investment management regulations. + Ability… more
- Wells Fargo (Trenton, NJ)
- …customers and partners **Desired Qualifications:** + Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 6 and Series 63 examinations ... schedule that may include most Saturdays + Adherence to Wells Fargo sales practices risk management culture + Current registration for FINRA Series 6 and Series… more
- TD Bank (Cherry Hill, NJ)
- …Business:** TD Wealth **Job Description:** The Central Supervision Team Lead is a FINRA and SEC regulatory supervisory principal position with the Central Office ... of Supervisory Jurisdiction (OSJ). This role assists in the regulatory oversight for TD Private Client Wealth, (TDPCW), a US registered Investment Advisory Service… more
- TD Bank (New York, NY)
- … requirements and assisting business units to manage their regulatory risk . The Surveillance Quality Assurance Manager will work with the Director ... across trade and communications. + Ensure the surveillance department aligns with global regulatory requirements (eg, SEC, FINRA , CFTC, NFA, FCA, MAS, etc.) and… more
- PNC (East Brunswick, NJ)
- …action plans. Reviews and reports on assessments of AML and Sanctions compliance risk and internal controls, as appropriate. Monitors regulatory developments and ... to be successful in this position. **Preferred Skills** Compliance Reporting, Customer Risk , Decision Making, Regulatory Requirements, Risk Assessments, … more